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D.C. Mun. Regs. tit. 26-B, ch. 1 – Broker-dealers, Agents, Investment Advisers, and Investment Adviser Representatives | Midpage
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District of Columbia Municipal Regulations
Title 26
26-B
Chapter 26-B1
D.C. Mun. Regs. tit. 26-B, ch. 1
Broker-dealers, Agents, Investment Advisers, and Investment Adviser Representatives
District of Columbia, Office of the Secretary
26-B100
[Reserved]
26-B101
Internet Communications
26-B102
Broker-dealer and Agent Registration and Licensing
26-B103
Examinations
26-B104
Filing and Transfer Procedures
26-B105
Incomplete or Deficient Applications
26-B106
Reapplication for an Agent or Broker-dealer License
26-B107
Termination and Withdrawal of Registration as an Agent of a Broker-dealer
26-B108
Reserved
26-B109
Reserved
26-B110
Ratio of Aggregate Indebtedness to Net Capital
26-B111
Minimum Net Capital
26-B112
Surety Bond
26-B113
Consent to Service of Process
26-B114
Filing of a Financial Statement
26-B115
Qualifications of Accountants
26-B116
Reserved
26-B117
Reserved
26-B118
Financial and Disciplinary Information That Broker-dealers Must Disclose to Clients
26-B119
Practices Deemed Unethical or Dishonest for Broker-dealers and Agents
26-B120
Recordkeeping Requirements
26-B121
Employment Records
26-B122
Customer Records and Complaints
26-B123
Preservation of Records
26-B124
Examination Procedures and Fees
26-B125
No Action and Opinion Letters
26-B126
Reserved
26-B127
Background Check Requirement
26-B128
Confidentiality
26-B129
Fingerprint Requirement
26-B130
Fees
26-B131
Reserved
26-B132
Reserved
26-B133
Reserved
26-B134
Reserved
26-B135
Reserved
26-B136
Reserved
26-B137
Reserved
26-B138
Reserved
26-B139
Reserved
26-B140
Reserved
26-B141
Reserved
26-B142
Reserved
26-B143
Reserved
26-B144
Reserved
26-B145
Reserved
26-B146
Reserved
26-B147
Reserved
26-B148
Reserved
26-B149
Reserved
26-B150
Notice Filing for Federal Covered Advisers and Hedge Fund Advisers
26-B151
Internet Communications
26-B152
Investment Adviser Licensing and Renewal
26-B153
Duty to Amend Information Previously Filed
26-B154
Solicitors
26-B155
Withdrawal From Investment Adviser Licensing
26-B156
Termination and Withdrawal of Registration as an Investment Adviser Representative and Associated Person of an Investment Adviser
26-B157
Hardship Exemptions
26-B158
Amendments to Application for Licensing
26-B159
Investment Adviser Representative Licensing
26-B160
Examination/qualification Requirements
26-B161
Investment Adviser Representative Continuing Education Requirements
26-B162
Filing Procedures
26-B163
Transfer Procedures
26-B164
Incomplete or Deficient Filings
26-B165
Reserved
26-B166
Reserved
26-B167
Exemption/subsection for Certain Broker-dealers
26-B168
Supervision
26-B169
Senior-specific Certifications, Designations, and Credentials
26-B170
Reserved
26-B171
Reserved
26-B172
Written Disclosure Statements (Brochure Rule)
26-B173
Performance Based Compensation
26-B174
Financial and Disciplinary Information That Investment Advisers Must Disclose to Clients
26-B175
Custody or Possession of Clients Funds or Securities
26-B176
Unlawful, Unethical or Dishonest Conduct or Practices
26-B177
Agency Cross Transactions
26-B178
Financial Statements and Reports
26-B179
Financial Requirements for Investment Advisers
26-B180
Surety Bond
26-B181
Investment Adviser Recordkeeping
26-B182
1/1/1900
26-B183
Record Retention Schedule
26-B184
Preservation and Maintenance of Investment Adviser Records
26-B185
Examination Procedures and Fees
26-B186
Investment Adviser Opinion and No Action Letters
26-B187
Reserved
26-B199
Definitions