Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives

  1. Law
  2. District of Columbia Code
  3. Insurance and Securities
  4. Securities
  5. Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives

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Section
31–5602.01

Licensing of broker-dealer and agent

Section
31–5602.02

Licensing of investment adviser and investment adviser representative

Section
31–5602.03

License and notice filing procedure

Section
31–5602.04

Post-licensing requirements

Section
31–5602.05

Licensing of successor firms

Section
31–5602.06

Power of inspection, examination and audit

Section
31–5602.07

Grounds for denial, suspension, or revocation

Section
31–5602.08

Denial, suspension, or revocation on grounds of lack of qualification

Section
31–5602.09

Withdrawal

Section
31–5602.10

Limited registration of Canadian broker-dealers and agents

Section
31–5602.11

Continuing education