The Commissioner may, by rule or order, establish continuing education requirements for investment adviser representatives.
(Oct. 26, 2000, D.C. Law 13-203, § 211; as added June 25, 2002, D.C. Law 14-150, § 2(d), 49 DCR 4238.)
Structure District of Columbia Code
Title 31 - Insurance and Securities
Subchapter II - Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives
§ 31–5602.01. Licensing of broker-dealer and agent
§ 31–5602.02. Licensing of investment adviser and investment adviser representative
§ 31–5602.03. License and notice filing procedure
§ 31–5602.04. Post-licensing requirements
§ 31–5602.05. Licensing of successor firms
§ 31–5602.06. Power of inspection, examination and audit
§ 31–5602.07. Grounds for denial, suspension, or revocation
§ 31–5602.08. Denial, suspension, or revocation on grounds of lack of qualification
§ 31–5602.10. Limited registration of Canadian broker-dealers and agents