Chapter 56. Securities.
| Subchapter I. Definitions and Rules of Construction. | Back to Top |
| § 31-5601.01. Definitions. |
| § 31-5601.02. Purpose and coordination with federal law. |
| Subchapter II. Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives. | Back to Top |
| § 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. |
| Subchapter III. Registration of Securities. | Back to Top |
| § 31-5603.01. Registration requirement. |
| § 31-5603.02. Registration by notification. |
| § 31-5603.03. Registration by coordination. |
| § 31-5603.04. Registration by qualification. |
| § 31-5603.05. Offer and sale of an indefinite amount of securities. |
| § 31-5603.06. Provisions applicable to registration generally. |
| § 31-5603.07. Denial, suspension, and revocation of registration. |
| § 31-5603.08. Federal covered securities. |
| § 31-5603.09. Withdrawal and abandonment. |
| Subchapter IV. Exemption from Registration. | Back to Top |
| § 31-5604.01. Exempt securities. |
| § 31-5604.02. Exempt transactions. |
| § 31-5604.03. Additional exemptions. |
| § 31-5604.04. Revocation of exemptions. |
| § 31-5604.05. Filing of sales and advertising literature. |
| § 31-5604.06. Coordination of exemptions. |
| Subchapter V. Fraudulent and Other Prohibited Practices. | Back to Top |
| § 31-5605.01. Unlicensed or unregistered activity. |
| § 31-5605.02. Fraudulent transactions. |
| § 31-5605.03. Manipulation of market. |
| § 31-5605.04. Misleading filings. |
| § 31-5605.05. Unlawful representations concerning licensing, registration, notice filing, or exemption. |
| Subchapter VI. Enforcement, Criminal, and Civil Liability. | Back to Top |
| § 31-5606.01. Investigation; subpoena power. |
| § 31-5606.02. Enforcement--administrative. |
| § 31-5606.03. Enforcement--judicial. |
| § 31-5606.04. Criminal penalties. |
| § 31-5606.05. Civil liability. |
| Subchapter VII. Administration. | Back to Top |
| § 31-5607.01. Administration of chapter. |
| § 31-5607.02. Prohibitions on use of information. |
| § 31-5607.03. Public information; confidentiality. |
| § 31-5607.04. Cooperation with other agencies. |
| § 31-5607.05. Rules, forms, and orders. |
| § 31-5607.06. Consent to service of process. |
| § 31-5607.07. Administrative files and records. |
| § 31-5607.08. Provisions applicable to administrative proceedings. |
| § 31-5607.09. Electronic filings. |
| Subchapter VIII. Miscellaneous Provisions. | Back to Top |
| § 31-5608.01. Scope of Chapter. |
| § 31-5608.02. District of Columbia Securities Advisory Committee. |
| § 31-5608.03. Judicial review. |
| § 31-5608.04. Repeal and transition provisions. |
