Brokers-dealers, Investment Advisors, Investment Advisor Representatives And Agents
This is Article 3 of the Code of Virginia, titled “Brokers-dealers, Investment Advisors, Investment Advisor Representatives And Agents.” It is part of Title 13.1, titled “Corporations.” It is part of Chapter 5, titled “Securities Act.” It’s comprised of the following 6 sections.
- § 13.1-504
- Registration
- § 13.1-504.1
- Brokerage services of savings and loan associations, savings banks or service corporations of either; when registration not required
- § 13.1-504.2
- Broker-dealer services provided by credit unions; when registration not required
- § 13.1-505
- Procedure for registration
- § 13.1-505.1
- Post-registration provisions
- § 13.1-506
- Revocation of registration