Statutes, codes, and regulations
Virginia Administrative Code
Title 21 - SECURITIES AND RETAIL FRANCHISINGAgency 5 - STATE CORPORATION COMMISSIONChapter 80 - INVESTMENT ADVISORS
Part II - Investment Advisor Representative Registration, Expiration, Updates and Amendments, Termination, and Changing Connection from One Investment Advisor to Another
Section 21VAC5-80-100 - Updates and amendments

21 Va. Admin. Code § 5-80-100

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Current through Register Vol. 41, No. 6, November 4, 2024
Section 21VAC5-80-100 - Updates and amendments

An investment advisor representative shall amend or update Form U4 as required by the "Amendment Filings" provisions set forth under "How to Use Form U4." All filings shall be made in compliance with all requirements of CRD.

21 Va. Admin. Code § 5-80-100

Derived from Rule 1103, Case No. SEC870040, eff. July 2, 1987; amended by Case No. SEC890040, eff. July 1, 1989; Virginia Register Volume 15, Issue 22, eff. July 1, 1999; Volume 17, Issue 20, eff. July 1, 2001; Volume 29, Issue 20, eff. June 3, 2013.

Statutory Authority

§§ 12.1-13 and 13.1-523 of the Code of Virginia.