With respect to investment advisors, the Commission may require that certain information be furnished or disseminated as necessary or appropriate in the public interest or for the protection of investors and advisory clients. To the extent determined by the Commission in its discretion, information furnished to clients or prospective clients of an investment advisor that would be in compliance with the Investment Advisers Act of 1940 and the rules thereunder may be used in whole or partial satisfaction of this requirement.
1987, c. 678; 1997, c. 279.
Structure Code of Virginia
§ 13.1-502. Unlawful offers and sales
§ 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
§ 13.1-507. Registration requirement; exemptions
§ 13.1-508. Registration by notification
§ 13.1-509. Registration by coordination
§ 13.1-510. Registration by qualification
§ 13.1-511. Effectiveness and reports
§ 13.1-514.1. Exemption of certain securities by order of Commission
§ 13.1-514.2. Primacy of Virginia law to be maintained
§ 13.1-516. Misleading filings
§ 13.1-517. Consent to service of process
§ 13.1-518. Investigations; confidentiality of information and documents
§ 13.1-518.1. Broker-dealers and investment advisors to file certain reports with Commission
§ 13.1-520.1. Commission may transmit record or complaint to locality where violation occurred
§ 13.1-521. Violations punishable by the Commission
§ 13.1-523.1. Commission authority to regulate securities and investment advisory activities
§ 13.1-524. Certain records of Commission available to public; admissibility of copies; destruction
§ 13.1-525. Official interpretations
§ 13.1-525.1. Fees to cover expense of regulation
§ 13.1-527.1. Division created; duties