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U.S. State Codes
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District-of-Columbia
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Title 31 - Insurance and Se...
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Chapter 56 - Securities.
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Subchapter II - Broker-Dealers, Agents, Investm...
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.
§ 31–5602.09. Withdrawal.
§ 31–5602.10. Limited registration of Canadian broker-dealers and agents.
§ 31–5602.11. Continuing education.