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