Laws and Regulations: Securities

Laws, Regulations and Rulemakings

• Enacted Laws and Regulations
• Status of Legislation on the DC Council's Legislative Information Management System
• How to search the DC Code on Lexis Nexis
• District of Columbia Official Code 
• Broker-Dealers, Investment Advisers and Investment Adviser Representatives, and Agent Regulations 
• Securities Registration Rules 

Policy Statements and Interpretations 

• Securities Bulletins 
• Mandatory Reporting for Banks and Other Financial Managers under the Adult Protective Services Act