Text Resize

-A +A
Bookmark and Share

Publications

E.g., 2014-11-21
E.g., 2014-11-21
10/24/2014
14-SB-01-10/24

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....

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
 ...

Pages

Subscribe to Publications List