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§ 31–5602.01. Licensing of broker-dealer and agent - (a) No person shall transact business in the District of...
§ 31–5602.02. Licensing of investment adviser and investment adviser representative - (a) No person shall transact business in the District as...
§ 31–5602.03. License and notice filing procedure - (a) A broker-dealer, agent, investment adviser, or investment adviser representative...
§ 31–5602.04. Post-licensing requirements - (a)(1) A licensed broker-dealer shall make and keep such accounts,...
§ 31–5602.05. Licensing of successor firms - (a) A licensed broker-dealer or investment adviser or federal covered...
§ 31–5602.06. Power of inspection, examination and audit - (a) The Commissioner may, in a manner reasonable under the...
§ 31–5602.07. Grounds for denial, suspension, or revocation - (a) The Commissioner may, by order, deny, suspend, or revoke...
§ 31–5602.08. Denial, suspension, or revocation on grounds of lack of qualification - A determination by the Commissioner that an applicant or licensed...
§ 31–5602.09. Withdrawal - (a) Withdrawal from licensing as a broker-dealer, agent, investment adviser,...
§ 31–5602.10. Limited registration of Canadian broker-dealers and agents - (a) A Canadian broker-dealer may be licensed under this section...
§ 31–5602.11. Continuing education - The Commissioner may, by rule or order, establish continuing education...