21 Va. Admin. Code § 5-80-230

Current through Register Vol. 41, No. 2, September 9, 2024

Section 21VAC5-80-230 - Clarification of investment advisor representative

For purposes of clause (iv) of the definition of "investment advisor representative" in § 13.1-501 of the Act, an individual is deemed to have prepared reports or analyses concerning securities if that individual is identified to a client as having prepared such reports or analyses.

21 Va. Admin. Code § 5-80-230

Derived from Rule 1400, Case No. SEC920008, eff. October 15, 1992.

Statutory Authority

§ 13.1-523 of the Code of Virginia.