District of Columbia · Statutes
Chapter 56. Securities.
51 sections
51 sections
- D.C. Code § 31-5601.01Definitions.
- D.C. Code § 31-5601.02Purpose and coordination with federal law.
- D.C. Code § 31-5602.01Licensing of broker-dealer and agent.
- D.C. Code § 31-5602.02Licensing of investment adviser and investment adviser representative.
- D.C. Code § 31-5602.03License and notice filing procedure.
- D.C. Code § 31-5602.04Post-licensing requirements.
- D.C. Code § 31-5602.05Licensing of successor firms.
- D.C. Code § 31-5602.06Power of inspection, examination and audit.
- D.C. Code § 31-5602.07Grounds for denial, suspension, or revocation.
- D.C. Code § 31-5602.08Denial, suspension, or revocation on grounds of lack of qualification.
- D.C. Code § 31-5602.09Withdrawal.
- D.C. Code § 31-5602.10Limited registration of Canadian broker-dealers and agents.
- D.C. Code § 31-5602.11Continuing education.
- D.C. Code § 31-5603.01Registration requirement.
- D.C. Code § 31-5603.02Registration by notification.
- D.C. Code § 31-5603.03Registration by coordination.
- D.C. Code § 31-5603.04Registration by qualification.
- D.C. Code § 31-5603.05Offer and sale of an indefinite amount of securities.
- D.C. Code § 31-5603.06Provisions applicable to registration generally.
- D.C. Code § 31-5603.07Denial, suspension, and revocation of registration.
- D.C. Code § 31-5603.08Federal covered securities.
- D.C. Code § 31-5603.09Withdrawal and abandonment.
- D.C. Code § 31-5604.01Exempt securities.
- D.C. Code § 31-5604.02Exempt transactions.
- D.C. Code § 31-5604.03Additional exemptions.
- D.C. Code § 31-5604.04Revocation of exemptions.
- D.C. Code § 31-5604.05Filing of sales and advertising literature.
- D.C. Code § 31-5604.06Coordination of exemptions.
- D.C. Code § 31-5605.01Unlicensed or unregistered activity.
- D.C. Code § 31-5605.02Fraudulent transactions.
- D.C. Code § 31-5605.03Manipulation of market.
- D.C. Code § 31-5605.04Misleading filings.
- D.C. Code § 31-5605.05Unlawful representations concerning licensing, registration, notice filing, or exemption.
- D.C. Code § 31-5606.01Investigation; subpoena power.
- D.C. Code § 31-5606.02Enforcement — Administrative.
- D.C. Code § 31-5606.03Enforcement — Judicial.
- D.C. Code § 31-5606.04Criminal penalties.
- D.C. Code § 31-5606.05Civil liability.
- D.C. Code § 31-5607.01Administration of chapter.
- D.C. Code § 31-5607.02Prohibitions on use of information.
- D.C. Code § 31-5607.03Public information; confidentiality.
- D.C. Code § 31-5607.04Cooperation with other agencies.
- D.C. Code § 31-5607.05Rules, forms, and orders.
- D.C. Code § 31-5607.06Consent to service of process.
- D.C. Code § 31-5607.07Administrative files and records.
- D.C. Code § 31-5607.08Provisions applicable to administrative proceedings.
- D.C. Code § 31-5607.09Electronic filings.
- D.C. Code § 31-5608.01Scope of Chapter.
- D.C. Code § 31-5608.02District of Columbia Securities Advisory Committee.Repealed
- D.C. Code § 31-5608.03Judicial review.
- D.C. Code § 31-5608.04Repeal and transition provisions.