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Virginia Administrative Code
Agency 5 - STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING

Chapter 10GENERAL ADMINISTRATION - SECURITIES ACT
Chapter 20BROKER-DEALERS, BROKER-DEALER AGENTS AND AGENTS OF THE ISSUER
Chapter 30SECURITIES REGISTRATION
Chapter 40EXEMPT SECURITIES AND TRANSACTIONS
Chapter 45FEDERAL COVERED SECURITIES
Chapter 50REGISTRATION REGULATIONS [REPEALED]
Chapter 60REPORTS
Chapter 70OPTIONS AND WARRANTS [REPEALED]
Chapter 80INVESTMENT ADVISORS
Chapter 85FORMS - SECURITIES ACT [REPEALED]
Chapter 90VIRGINIA STATE CORPORATION COMMISSION VIRGINIA RETAIL FRANCHISING ACT RULES AND FORMS [REPEALED]
Chapter 100DISCLOSURE OF INFORMATION OR DOCUMENTS BY COMMISSION
Chapter 110RETAIL FRANCHISING ACT RULES
Chapter 120VIRGINIA TRADEMARK AND SERVICE MARK ACT


Chapter 10GENERAL ADMINISTRATION - SECURITIES ACT (create report)
Section 10Authority
Section 20Classification of regulatory standards
Section 30Application
Section 40Definitions
FORMSFORMS (21VAC5-10)


Chapter 20BROKER-DEALERS, BROKER-DEALER AGENTS AND AGENTS OF THE ISSUER (create report)
Section 10Application for registration as a broker-dealer
Section 20Expiration
Section 30Renewals
Section 40Updates and amendments
Section 50Termination of registration
Section 60Broker-dealer merger or consolidation
Section 65Broker-dealer records retention requirements
Section 70Examinations/qualifications
Section 80Financial statements and reports
Section 85Limited Canadian broker-dealer registration
Section 90Application for registration as a broker-dealer agent
Section 95Employment of an agent by more than one broker-dealer
Section 100Expiration
Section 110Renewals
Section 120Updates and amendments
Section 130Termination of registration
Section 135Continuing commission by retiring agents
Section 140Changing connection from one broker-dealer to another
Section 150Examination/qualification
Section 155Limited Canadian broker-dealer agent registration
Section 160Application for registration as an agent of the issuer
Section 170Expiration
Section 180Renewals
Section 190Updates and amendments
Section 200Termination of registration
Section 210Changing connection from one issuer to another
Section 220Examination/qualification; waiver of examination requirement
Section 225Inspection of records
Section 230Notice of civil, criminal, administrative or arbitrational action
Section 240Books and records of broker-dealers
Section 250[Repealed]
Section 260Supervision of agents
Section 270[Repealed]
Section 280Prohibited business conduct
Section 290Financial responsibility
Section 300Net worth
Section 310Reserve requirements and custody of customer funds and securities
Section 320Clerical or ministerial services
Section 330Model rules for sales of securities at financial institutions


Chapter 30SECURITIES REGISTRATION (create report)
Section 10Definitions
Section 20Requirements for registrations filed pursuant to § 13.1-509 of the Act
Section 30[Repealed]
Section 40Requirements for registrations filed pursuant to §§ 13.1-508 and 13.1-510 of the Code of Virginia
Section 50Requirements for registration statements relating to nonissuer distributions
Section 60[Repealed]
Section 70[Repealed]
Section 80Adoption of NASAA statements of policy
Section 90[Repealed]


Chapter 40EXEMPT SECURITIES AND TRANSACTIONS (create report)
Section 10Commercial paper
Section 20Exchange and automated quotations system
Section 30Uniform limited offering exemption
Section 40Nasdaq/National Market System exemption
Section 50Foreign issuer
Section 60Chicago Board Options Exchange
Section 70Solicitations of interest prior to the filing of a registration statement
Section 80Philadelphia Stock Exchange, Inc
Section 90Pacific Stock Exchange, Inc
Section 100Domestic issuer limited transactional exemption
Section 110Internet offer transactional exemption
Section 120[Repealed]
Section 130Calculation of the number of purchasers under § 13.1-514 B 7 b
Section 140Accredited investor exemption
Section 150Employee benefit plans; eligible participants
Section 160Canadian securities
Section 170Offerings conducted pursuant to § 13.1-514 B 7 a; broker-dealer participation and solicitation
FORMSFORMS (21VAC5-40)


Chapter 45FEDERAL COVERED SECURITIES (create report)
Section 10Investment company notice filing requirements
Section 20Offerings conducted pursuant to Rule 506 of federal Regulation D (17 CFR 230.506): Filing requirements and issuer-agent exemption
FORMSFORMS (21VAC5-45)


Chapter 50REGISTRATION REGULATIONS [REPEALED] (create report)
Section 10[Repealed]


Chapter 60REPORTS (create report)
Section 10Filing of amended prospectus required
Section 20Required reports of securities registrants


Chapter 70OPTIONS AND WARRANTS [REPEALED] (create report)
Section 10[Repealed]


Chapter 80INVESTMENT ADVISORS (create report)
Section 10Application for registration as an investment advisor and notice filing as a federal covered advisor
Section 20Expiration
Section 30Renewals
Section 40Updates and amendments
Section 50Termination of registration and notice filings
Section 60Investment advisor merger or consolidation
Section 65Investment advisor records retention requirements
Section 70Application for registration as an investment advisor representative
Section 80Expiration
Section 90Renewals
Section 100Updates and amendments
Section 110Termination of registration
Section 120Changing a connection from one investment advisor or federal covered advisor to another
Section 130Examination/qualification
Section 140[Repealed]
Section 145Custody requirements for investment advisors
Section 150Agency cross transactions
Section 160Recordkeeping requirements for investment advisors
Section 170Supervision of investment advisor representatives
Section 180Requirements for surety bonds and financial reporting
Section 190Disclosure requirements
Section 200Dishonest or unethical practices
Section 210Exclusions from definition of "investment advisor" and "federal covered advisor"
Section 215Exemption for certain private advisors
Section 220Performance based fees
Section 230Clarification of investment advisor representative
Section 240Investment advisor representative registration on behalf of other investment advisors or federal covered advisors
Section 250Employment of investment advisor representative by more than one investment advisor or federal covered advisor


Chapter 85FORMS - SECURITIES ACT [REPEALED] (create report)
Section 10[Repealed]


Chapter 90VIRGINIA STATE CORPORATION COMMISSION VIRGINIA RETAIL FRANCHISING ACT RULES AND FORMS [REPEALED] (create report)
Section 10[Repealed]


Chapter 100DISCLOSURE OF INFORMATION OR DOCUMENTS BY COMMISSION (create report)
Section 10Rule governing disclosure of confidential information
FORMSFORMS (21VAC5-100)


Chapter 110RETAIL FRANCHISING ACT RULES (create report)
Section 10Definitions
Section 20Preliminary statement
Section 30Registration application; documents to file; interim financial statements
Section 40Pre-effective and post-effective amendments to the registration
Section 50Expiration; application to renew the registration; interim financial statements
Section 55The Franchise Disclosure Document
Section 60Automatic effectiveness (optional)
Section 65Escrow and deferral
Section 70Consent to service of process
Section 75Exemptions
Section 80General requirements for preparation of disclosure documents; master franchises; electronic disclosure
Section 85Disclosure of confidential information
Section 90[Repealed]
Section 95Requirements for Franchise Disclosure Document preparation
FORMSFORMS (21VAC5-110)


Chapter 120VIRGINIA TRADEMARK AND SERVICE MARK ACT (create report)
Section 10Definitions
Section 20Authority; severability
Section 30Classification of regulatory standards
Section 40Application of regulations
Section 50Application for registration
Section 60Expiration
Section 70Renewals
Section 80Assignments and name change
Section 90Cancellation procedures
Section 100Classification of goods and services
Section 110[Repealed]
FORMSFORMS (21VAC5-120)