BD- District of Columbia Broker-Dealer Firm Initial and Renewal Registration Requirements

The DC Broker-Dealer Firm Registration Requirements highlight the steps necessary for initial and renewal registration as a FINRA and Non-FINRA broker dealer.  Pursuant to District of Columbia Official Code §31-5602.01(a), no person shall transact business in the District of Columbia as a broker-dealer unless the person is licensed or exempt from the licensing requirement.  Members also downloaded District of Columbia Broker-Dealer Agent Initial and Renewal Registration Requirements or District of Columbia Broker-Dealer Firm and Agent Amendment Filings Requirements.

Version/Update: V.U/2000

Total Page Count/Format: 2/.pdf

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