21 Va. Admin. Code § 5-20-310

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

Section 21VAC5-20-310 - Reserve requirements and custody of customer funds and securities

All broker-dealer applicants and registrants subject to the net capital provisions of 21VAC5-20-290 B shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of Rule 15c3-3 under the Securities Exchange Act of 1934 ( 17 CFR 240.15c3 - 3).

Derived from Rule 308, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC890040, eff. July 1, 1989.

Statutory Authority

§ 13.1-523 of the Code of Virginia.