Every broker-dealer and investment advisor registered under this chapter shall file all reports made by such broker-dealers or investment advisors as the Commission, by rule, may require.
1974, c. 381; 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