21 Va. Admin. Code § 5-20-240

Current through Register Vol. 41, No. 6, November 4, 2024

Section 21VAC5-20-240 - Books and records of broker-dealers

Every broker-dealer registered or required to be registered under the Act shall make and keep true, accurate and current, and preserve the books and records relating to its business, as are described in SEC Rules 17a-3 (17 CFR 240.17a-3) and 17a-4 ( 17 CFR 240.17a-4) , or Municipal Securities Rule Making Board (MSRB) Rules G7 and G8.

Derived from Rule 301, Case No. SEC810005, eff. July 1, 1981; amended, Virginia Register Volume 13, Issue 25, eff. September 1, 1997; Volume 17, Issue 20, eff. July 1, 2001; Volume 19, Issue 23, eff. July 1, 2003.

Statutory Authority

§§ 12.1-13 and 13.1-523.1 of the Code of Virginia.