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Subchapter I - Definitions and Rules of Construction
§ 31–5601.01. Definitions - For the purposes of this chapter, the term: (1) “Accredited...
§ 31–5601.02. Purpose and coordination with federal law - (a) The purpose of this chapter is to protect investors...
Subchapter II - Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives
§ 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...
Subchapter III - Registration of Securities
§ 31–5603.01. Registration requirement - No person shall offer or sell a security in the...
§ 31–5603.02. Registration by notification - (a) The following securities may be registered by notification, whether...
§ 31–5603.03. Registration by coordination - (a) A security for which a registration statement has been...
§ 31–5603.04. Registration by qualification - (a) A security may be registered by qualification. (b) In...
§ 31–5603.05. Offer and sale of an indefinite amount of securities - (a) A face-amount certificate company, an open-end management company, a...
§ 31–5603.06. Provisions applicable to registration generally - (a) A registration statement may be filed by the issuer,...
§ 31–5603.07. Denial, suspension, and revocation of registration - (a) The Commissioner may issue a stop order denying effectiveness...
§ 31–5603.08. Federal covered securities - (a) This section shall apply to a federal covered security...
§ 31–5603.09. Withdrawal and abandonment - (a) A registration statement may be withdrawn, at the discretion...
Subchapter IV - Exemption from Registration
§ 31–5604.01. Exempt securities - The following securities shall be exempt from the requirements of...
§ 31–5604.02. Exempt transactions - The following transactions are exempt from §§ 31-5603.01, 31-5603.07, and...
§ 31–5604.03. Additional exemptions - The Commissioner may, by rule or order, exempt any other...
§ 31–5604.04. Revocation of exemptions - (a) The Commissioner may, by order, deny or revoke an...
§ 31–5604.05. Filing of sales and advertising literature - The Commissioner may, by rule or order, require the filing...
§ 31–5604.06. Coordination of exemptions - (a) In furtherance of the policy stated in § 31-5601.02(b),...
Subchapter V - Fraudulent and Other Prohibited Practices
§ 31–5605.01. Unlicensed or unregistered activity - A person shall not: (1) Offer or sell a security...
§ 31–5605.02. Fraudulent transactions - (a) A person shall not: (1) In connection with the...
§ 31–5605.03. Manipulation of market - (a) A person shall not, directly or indirectly, in the...
§ 31–5605.04. Misleading filings - A person shall not make, or cause to be made,...
§ 31–5605.05. Unlawful representations concerning licensing, registration, notice filing, or exemption - (a) The filing of an application for a registration or...
Subchapter VI - Enforcement, Criminal, and Civil Liability
§ 31–5606.01. Investigation; subpoena power - (a) The Commissioner may: (1) Make public or private investigations...
§ 31–5606.02. Enforcement — Administrative - (a) Whenever the Commissioner determines that a person has engaged,...
§ 31–5606.03. Enforcement — Judicial - (a) Whenever it appears to the Commissioner that a person...
§ 31–5606.04. Criminal penalties - (a) Any person who violates § 31-5605.01 shall be guilty...
§ 31–5606.05. Civil liability - (a)(1) A person shall be civilly liable to another person...
Subchapter VII - Administration
§ 31–5607.01. Administration of chapter - This chapter shall be administered by the Commissioner. (Oct. 26,...
§ 31–5607.02. Prohibitions on use of information - The Commissioner or an employee of the Commissioner shall not...
§ 31–5607.03. Public information; confidentiality - (a) Except as provided in subsection (b) of this section,...
§ 31–5607.04. Cooperation with other agencies - (a) To encourage uniform interpretation and administration of this chapter...
§ 31–5607.05. Rules, forms, and orders - (a) In addition to specific authority otherwise granted by this...
§ 31–5607.06. Consent to service of process - (a) An applicant for licensure or registration under this chapter,...
§ 31–5607.07. Administrative files and records - (a) The Commissioner shall keep one or more registers of...
§ 31–5607.08. Provisions applicable to administrative proceedings - (a) All actions of the Commissioner, including administrative proceedings, adoption...
§ 31–5607.09. Electronic filings - (a) The Commissioner may, by rule or order, prescribe acceptable...
Subchapter VIII - Miscellaneous Provisions
§ 31–5608.01. Scope of Chapter - (a) Sections 31-5602.01, 31-5603.01, 31-5605.01, or 31-5605.02, 31-5605.05, and 31-5606.05...
§ 31–5608.02. District of Columbia Securities Advisory Committee. [Repealed] - Repealed. (Oct. 26, 2000, D.C. Law 13-203, § 802, 47...
§ 31–5608.03. Judicial review - (a) If a hearing is conducted under the contested case...
§ 31–5608.04. Repeal and transition provisions - (a) Chapters 36 and 37 of Title 3 (“prior law”),...