BD- Virginia Broker-Dealer Examination and Qualification Requirements

The VA Broker-Dealer Examination and Qualification Requirements describes the examination and qualification requirements in accordance with the Virginia Administrative Code Section 21VAC5-20-70, whereby broker-dealers registered with the State of Virginia and registered or not registered pursuant to § 15 of the Securities Exchange Act of 1934 (15 USC §780) must provide evidence of passing qualification examinations.  Members also downloaded Virginia Broker-Dealer Initial, Update, Amendment and Renewal Registration Requirements or Virginia Broker-Dealer Agent Initial and Renewal Registration Requirements.

Version/Update: V.U/03/2020

Total Page Count/Format: 2/.pdf

Source/Author(s):  VA State Corporation Commission