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The Securities Bureau:
- regulates securities professionals in the District of Columbia;
- licenses broker-dealer firms and their agents, agents of issuers, and investment advisers and their representatives;
- protects investor/consumers by insuring that securities entities and representatives operating in the District comply with the District's securities laws;
- conducts investor education through outreach activities in the community; and
- is a member of the North American Securities Administrators Association, Inc (NASAA). NASAA is the voice of state securities agencies responsible for grass-roots investor protection and efficient capital formation.
The Securities Bureau has one office and three divisions:
 
Office of Securities Associate Commissioner:
- oversees the daily operations of the Securities Bureau;
- plans and directs a refined and well-coordinated securities regulatory program;
- makes final determination on the licensing status of regulated securities entities;
- plans and maintains creative outreach programs to meet the informational needs of DC investors; and
- recommends securities programs and courses to develop and train Securities Bureau personnel.
Licensing Division:
- administers the licensing requirements applicable to investment advisers, investment adviser representatives, broker-dealers and broker-dealer agents, and agents of issuers operating in the District of Columbia.
- monitors the Continuing Education program;
Corporation Finance Division:
- administers registration filings and notice filings of securities offerings;
- reviews and analyzes financial statements of business entities to ensure full disclosure by registrants;
Examinations Division:
- conducts on-site inspections of investment advisers and broker-dealers to ensure compliance with applicable rules and statutes;
- investigates and resolves complaints regarding allegations of misconduct by Securities Professionals operating in the District of Columbia; and
- refers suspected illegal activities to the Enforcement and Investigation Bureau for investigation.
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