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The Securities Bureau:
- regulates securities professionals in the District of Columbia;
- licenses broker-dealer firms and their agents, agent of issuers, and registers investment advisers and their representatives;
- protects the interest of 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 and Financial Analysis Division:
- administers the licensing of investment advisors, investment representatives, broker dealers and broker dealer agents and agents of issuers operating in the District of Columbia; and
- responds to requests for opinion and non-action letters.
Securities Licensing and Analysis Division:
- processes and issues initial and renewal licenses for broker/dealers and their agents, investment advisers and their representatives and agents of issuers;
- reviews and analyzes financial statements of business entities to ensure full disclosure by registrants;
- handles complaints regarding allegations of misconduct against firms, agents and representatives;
- monitors the Continuing Education program;
- performs preliminary research of complaints regarding allegations of misconduct by Securities Professionals operating in the District of Columbia; and
- refers suspected improper activities to the Enforcement and Investigation Bureau for investigation.
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