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