Subchapter
Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives
- D.C. Code § 31-5602.01— Licensing of broker-dealer and agent
- D.C. Code § 31-5602.02— Licensing of investment adviser and investment adviser representative
- D.C. Code § 31-5602.03— License and notice filing procedure
- D.C. Code § 31-5602.04— Post-licensing requirements
- D.C. Code § 31-5602.05— Licensing of successor firms
- D.C. Code § 31-5602.06— Power of inspection, examination and audit
- D.C. Code § 31-5602.07— Grounds for denial, suspension, or revocation
- D.C. Code § 31-5602.08— Denial, suspension, or revocation on grounds of lack of qualification
- D.C. Code § 31-5602.09— Withdrawal
- D.C. Code § 31-5602.10— Limited registration of Canadian broker-dealers and agents
- D.C. Code § 31-5602.11— Continuing education