The Virginia Division of Securities and Retail Franchising is responsible for the
regulation of securities, broker-dealers, broker-dealer agents, investment advisers
and their representatives. It is also responsible for the registration of franchises
and trademarks in Virginia. The Division answers inquiries, provides investor education
programs, handles complaints, performs audits, and conducts investigations regarding
code violations relating to Securities and Retail Franchising.
Order Adopting Amended Rules: In the matter
of Adopting a Revision to the Rules Governing the Virginia Securities Act
(amendments to rules regarding regulation of certain investment advisors to private
funds)