Department of Insurance, Securities and Banking

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The Securities Bureau of the Department of Insurance, Securities and Banking (DISB) administers and enforces the District of Columbia’s laws and regulations applicable to securities offerings and investment professionals. DISB licenses and monitors investment advisers and their representatives and broker-dealers and their agents, and reviews certain public securities offerings in the District of Columbia, independently or in conjunction with the federal Securities and Exchange Commission (SEC).

DISB also receives notice filings of other public securities offerings, such as mutual funds, which are reviewed solely by the SEC, and certain exempt or private securities offerings, such as offerings pursuant to SEC Regulation D, Rule 506. DISB strives to protect DC investors by ensuring that those who provide investment opportunities and investment-related services are qualified and properly licensed and comply with all applicable investor protection requirements. The DISB Examinations Division conducts compliance examinations of investment advisers and broker-dealers to ensure compliance with applicable rules and statutes.

Updated Resources for the Securities Industry

Licensing and Registration Requirements

Securities Examinations

Hearings and Administrative Actions

Laws, Regulations and Rulemakings

Policy Statements and Interpretations

Requirements involving Senior clients and clients with diminished capacity

Multistate Initiatives

Access to Capital Programs