statecorporationcommission.docVIP

下载本文档

4
0
约14.22万字
约 26页
2017-03-14 发布于湖南
举报
版权申诉

statecorporationcommission.doc

1、本文档共26页，可阅读全部内容。
2、原创力文档（book118）网站文档一经付费（服务费），不意味着购买了该文档的版权，仅供个人/单位学习、研究之用，不得用于商业用途，未经授权，严禁复制、发行、汇编、翻译或者网络传播等，侵权必究。
3、本站所有内容均由合作方或网友上传，本站不对文档的完整性、权威性及其观点立场正确性做任何保证或承诺！文档内容仅供研究参考，付费前请自行鉴别。如您付费，意味着您自己接受本站规则且自行承担风险，本站不退款、不进行额外附加服务；查看《如何避免下载的几个坑》。如果您已付费下载过本站文档，您可以点击这里二次下载。
4、如文档侵犯商业秘密、侵犯著作权、侵犯人身权等，请点击“版权申诉”（推荐），也可以打举报电话：400-050-0827(电话支持时间：9:00-18:30)。
5、该文档为VIP文档，如果想要下载，成为VIP会员后，下载免费。
6、成为VIP后，下载本文档将扣除1次下载权益。下载后，不支持退款、换文档。如有疑问请联系我们。
7、成为VIP后，您将拥有八大权益，权益包括：VIP文档下载权益、阅读免打扰、文档格式转换、高级专利检索、专属身份标志、高级客服、多端互通、版权登记。
8、VIP文档为合作方或网友上传，每下载1次，网站将根据用户上传文档的质量评分、类型等，对文档贡献者给予高额补贴、流量扶持。如果你也想贡献VIP文档。上传文档

statecorporationcommission

STATE CORPORATION COMMISSION Division of Securities and Retail Franchising REGISTRAR’S NOTICE: The State Corporation Commission is exempt from the Administrative Process Act in accordance with §?2.2-4002 A 2 of the Code of Virginia, which exempts courts, any agency of the Supreme Court, and any agency that by the Constitution is expressly granted any of the powers of a court of record. Title of Regulation: 21?VAC 5-10. General AdministrationSecurities Act (amending 21?VAC 5-10-10). Title of Regulation: 21?VAC 5-20. BrokerDealers, BrokerDealer Agents and Agents of the Issuer: Registration, Expiration, Renewal, Updates and Amendments, Termination, Changing Connection, Merger or Consolidation, Examinations/Qualification, Financial Statements and Reports (amending 21?VAC 5-20-70, 21?VAC 5-20-85, 21?VAC 5-20-155, 21?VAC 5-20-220, 21?VAC 5-20-240, 21?VAC 5-20-260, and 21?VAC 5-20-280; adding 21?VAC 5-20-225; repealing 21?VAC 5-20-250 and 21?VAC 5-20-270). Title of Regulation: 21?VAC 5-30. Securities Registration (amending 21?VAC 5-30-10, 21?VAC 5-30-40, and 21?VAC 5-30-80; repealing 21?VAC 5-30-70 and 21?VAC 5-30-90). Title of Regulation: 21?VAC 5-40. Exempt Securities (amending 21?VAC 5-40-30, 21?VAC 5-40-100, 21?VAC 5-40-140, and 21?VAC 5-40-150; adding 21?VAC 5-40-160; repealing 21?VAC 5-40-120). Title of Regulation: 21?VAC 5-45. Federal Covered Securities (adding 21?VAC 5-45-10 and 21?VAC 5-45-20). Title of Regulation: 21?VAC 5-80. Investment Advisors (amending 21?VAC 5-80-40, 21?VAC 5-80-190, 21?VAC 5-80-200, and 21?VAC 5-80-210). Title of Regulation: 21?VAC 5-100. Disclosure of Information or Documents by Commission (amending 21?VAC 5-100-10). Statutory Authority: §§?12.1-13 and 13.1-523.1 of the Code of Virginia. Public Hearing Date: Hearing will be scheduled if requested. Public comments may be submitted until May 21, 2003. Agency Contact: Thomas M. Gouldin, Deputy Director, State Corporation Commission, P.O. Box 1197, Richmond, VA 23218, telephone (804) 371-9