West Virginia Statutes
§ 32-6-605 — Third-Party Disclosures
West Virginia·Ch. 32 UNIFORM SECURITIES ACT·Art. 6 THE PROTECTION OF ELIGIBLE ADULTS FROM FINANCIAL EXPLOITATION
If a broker-dealer or investment adviser reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted, or is being attempted, the broker-dealer or investment adviser may notify any reasonably associated individuals. Disclosure may not be made to any third party that is suspected of financial exploitation or other abuse of the eligible adult.
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Legislative History
2020 Reg. Sess., HB4377
Nearby Sections
15
§ 32-1-101
Sales and purchases§ 32-1-102
Advisory activities§ 32-2-201
Registration requirement§ 32-2-202
Registration and notice filing procedure§ 32-2-203
Post-registration provisions§ 32-2-204
Denial, revocation, suspension, otherwise condition, cancellation and withdrawal of registration§ 32-3-301
Registration requirement§ 32-3-302
Registration by notification§ 32-3-303
Registration by coordination§ 32-3-304
Registration by qualification§ 32-3-304a
Federal-covered securities§ 32-4-401
Definitions§ 32-4-402
Exemptions