BD- District of Columbia Broker-Dealer Firm and Agent Amendment Filings Requirements

The DC Broker Dealer Firm and Agent Amendment Filings Requirements highlight the steps necessary for amending initial filings. Pursuant to District of Columbia Securities Act §31-5602.04(d), when information contained in any document filed with the Securities Bureau is, or becomes, inaccurate or incomplete, broker-dealers must update the information by filing an amendment as soon as the change occurs.  Members also downloaded District of Columbia Broker-Dealer Firm Initial and Renewal Registration Requirements or District of Columbia Broker-Dealer Agent Initial and Renewal Registration Requirements.

Version/Update: V.U/2000

Total Page Count/Format: 2/.pdf

Source/Author(s): District of Columbia Dept. of Insurance, Securities and Banking