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Home » US Law » 2022 West Virginia Code » Chapter 32. Uniform Securities Act » Article 2. Registration of Broker-Dealers and Agents; Registration and Notice Filing for Investment Advisers

§32-2-201. Registration Requirement

(a) It is unlawful for any person to transact business in this state as a broker-dealer or agent unless he or she is registered under this chapter. (b) It is unlawful for any broker-dealer or issuer to employ an agent unless the agent is registered. The registration of an agent is not effective during any […]

§32-2-202. Registration and Notice Filing Procedure

(a) A broker-dealer, agent or investment adviser may obtain an initial or renewal registration by filing with the commissioner an application, together with a consent to service of process pursuant to subsection (g), section four hundred fourteen, article four of this chapter. The application shall contain whatever information the commissioner by rule requires concerning matters […]

§32-2-203. Post-Registration Provisions

(a) Every registered broker-dealer and investment adviser shall make and keep such accounts, correspondence, memoranda, papers, books and other records as the commissioner prescribes by rule or order, except as provided by section fifteen of the Securities Exchange Act of 1934 (in the case of a broker-dealer) and section 222 of the Investment Advisers Act […]