BD- District of Columbia Transaction Cert. Form for Broker-Dealers and Agents

The District of Columbia Transaction Certification Form for Broker-Dealers and Agents allows a broker-dealer to certify whether its claiming exemption from registration under the District of Columbia Securities Act ("Act"), whether any securities transactions have been effected on behalf of D.C. residents or within D.C. while not effectively licensed under the Act, and/or whether a broker-dealer has effected transactions on behalf of D.C. residents or within D.C. while not effectively licensed under the Act.

Version/Update: V.U/2013

Total Page Count: 1

Source/Author(s): DC Dept. of Insurance, Securities & Banking