Skip to main content
  • Home
  • About
    • Financial Services Hub
    • Office of Innovation
    • Our New Brand
    • Mission and Vision
    • About the Commissioner
    • Organizational Structure
    • Divisions
    • Initiatives
    • Affiliations
    • Submit a FOIA Request
    • Careers
  • Residents
    • Consumer Alerts
    • Consumer Services
    • Consumer Guides
    • Enforcement and Consumer Protection
    • DISB Scam Tracker
    • Financial Empowerment Programs
    • Foreclosure Prevention
    • Small Business Resources
    • DC REACh Directory
    • Student Loan Ombudsman
    • Verify Regulated Banks/Credit Unions
    • Verify Financial Service Providers
    • Verify Licensed Broker / Dealers
    • Verify Licensed Insurers
    • Frequently Asked Questions
    • Investor Education and Protection Resources
  • Insurance
    • Captives
    • Laws and Regulations
    • Compliance Requirements
    • Checking Your Status
    • Paying Fees
    • Supporting Resources
    • Frequently Asked Questions
    • Network Adequacy
    • Small Business Insurance
  • Securities
    • Laws and Regulations
    • Compliance Requirements
    • Checking Your Status
    • Paying Fees
    • Supporting Resources
    • Frequently Asked Questions
  • Banking
    • Laws and Regulations
    • Compliance Requirements
    • Supporting Resources
    • Verify Financial Service Providers
    • Verify Regulated Banks/Credit Unions
  • News Room
    • Administrative Hearings and Actions
    • DISB in the News
    • Events
    • Guidance & Bulletins
    • Media Inquiries
    • Press Releases
    • Podcasts
    • Public Notice Publications
    • Request a Speaker
    • Submit FOIA Request
    • Testimony & Hearing News Room
    • DISB Educational Videos
DISB Logo
 
 

Securities

  • Laws and Regulations
  • Compliance Requirements
  • Checking Your Status
  • Paying Fees
  • Supporting Resources
  • Frequently Asked Questions
Listen

Compliance Requirements: Securities

Compliance Requirements: Securities

Licensing and Registration Requirements 

2025 FINRA Annual Renewal Program Calendar 
Licensing Requirements for Broker Dealers and Agents
Licensing Requirements for Investment Advisers and Representatives
DC Investment Adviser Representative Continuing Education Requirements
Agents and Investment Adviser Representatives Eligible for MQP and EVEP
Exempt Private Advisers Fund
Exempt Venture Capital Advisers Fund

Securities Firms Examinations 

Examination Process
Recommended Best Practices for coordinated Investment Advisers Examinations 
Recommended Best Practices for coordinated Broker-Dealers Examinations 

Securities Registration and Notice Filing Requirements

Corporate Finance Division

Hearings and Administrative Actions 

Administrative Hearing Process 
Securities Administrative Actions 

Media Inquiries          Ask the Commissioner
Agency Performance
Mayor Logo
       
Office Hours
Monday to Friday
Monday to Friday, 8:15 am to 4:45 pm,
except District holidays
Email: [email protected]
Connect With Us
1050 First Street, NE, 801,
Washington, DC 20002
Phone: (202) 727-8000
Fax: (202) 671-0650
  • Accessibility
  • Privacy and Security
  • About DC.Gov
  • Terms and Conditions
© 2022 District of Columbia