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Publications

E.g., 2014-04-20
E.g., 2014-04-20
09/25/2012
11-SB-01-01/05

This bulletin is to provide notification of the changes to the Form ADV

SEC

11/16/2011
11-BB- 29-11/16

This Bulletin is issued to provide information about the reporting rules that apply to all Banks, Thrifts, Insurance Producers, Premium Finance Companies, Broker-Dealers, Investment Advisers and...

07/21/2011
11-SB-03-07/21

This Bulletin provides guidance for investment advisers ("advisers") with less than $150 million in assets under management that conduct business in the District of Columbia, who may be required...

04/07/2011
03-SB-04-03/21 (Revised)

The purpose of this bulletin is to update the change of address to the District of Columbia Department of Insurance. Securities and Banking's ("DISB") lock box for private courier...

03/19/2009
09-SB-007 03/19

The intent of this bulletin is to advise you of revisions to the notice filing requirements.

SEC

11/09/2005
05-SB-005 11/09

All Broker-Dealers Licensed or Required to be Licenses in DC.

SEC

05/03/2002
SEC Release 02-2

Notice to All Securities Professionals Regarding the USA Patriot Act of 2001.

SEC

05/18/2001
01-SB-002

All payment of fees made pursuant to the Securities Act of 2000, and the District of Columbia regulations promulgated thereunder shall be made payable to the "D.C.

04/30/2001
01-SB-001

Section 305 sets forth a comprehensive scheme for treatment of offerings of securities issued by investment companies under the Act.

SEC
 ...
02/01/2001
SEC Release 02-01

The Securities Bureau has received numerous inquiries concerning the securities laws and rules it administers. To provide guidance to the public regarding the current laws and rules, the...