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Publications

E.g., 2016-12-04
E.g., 2016-12-04
10/24/2014

This bulletin provides notification that on October 10, 2014, the Department of Insurance, Securities, and Banking, adopted final rules pursuant to Section 403 of the Securities Act of 2000 D.C....

14-SB-01-10/24
09/25/2012

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

SEC

11-SB-01-01/05
11/16/2011

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...

11-BB- 29-11/16
07/21/2011

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...

11-SB-03-07/21
04/07/2011

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-SB-04-03/21 (Revised)
03/19/2009

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

SEC

09-SB-007 03/19
11/09/2005

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

SEC

05-SB-005 11/09
05/03/2002

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

SEC

SEC Release 02-2
05/18/2001

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.

01-SB-002
04/30/2001

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

SEC
 ...
01-SB-001

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