Part III - Investment Advisor, Federal Covered Advisor, and Investment Advisor Representative Regulations
- Section 21VAC5-80-146 - Custody of client funds or securities by investment advisors
- Section 21VAC5-80-150 - Agency cross transactions
- Section 21VAC5-80-160 - Recordkeeping requirements for investment advisors
- Section 21VAC5-80-170 - Supervision of investment advisor representatives
- Section 21VAC5-80-180 - Requirements for surety bonds and financial reporting
- Section 21VAC5-80-190 - Disclosure requirements
- Section 21VAC5-80-200 - Dishonest or unethical practices