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Code of the District of Columbia
Title 31
Chapter 56
II
Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives.
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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.