Updates to Regulatory Framework
Showing results 341 to 360 of 472
341 . Part I – Additional Board Requirements (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Custody Services Rulebook
342 . Custody Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
344 . B. VARA Approval and Powers (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
345 . Part III – Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
346 . D. Advisory Services (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
348 . Part II – Trading and Execution Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
349 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
350 . A. Policies and Procedures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
352 . Broker-Dealer Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
353 . D. Methodology (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
354 . C. Verification of Information (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
355 . B. Staff Competency (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
356 . A. Client Suitability (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
357 . Part II – Advisory Services Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
358 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
360 . Advisory Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks