District of Columbia § 31-5605.01 Unlicensed or unregistered activity.

District of Columbia Statutes

§ 31-5605.01 — Unlicensed or unregistered activity.

District of Columbia § 31-5605.01

Title 31Insurance and Securities.

Ch. 56Securities.

Subch. VFraudulent and Other Prohibited Practices.

This text of District of Columbia § 31-5605.01 (Unlicensed or unregistered activity.) is published on Counsel Stack Legal Research, covering District of Columbia primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook

D.C. Code § 31-5605.01 (2026).

Text

A person shall not:

(1)Offer or sell a security except in accordance with this chapter;

(2)Deliver to a purchaser a security required to be registered under § 31-5603.01 unless accompanied or preceded by a registration statement that meets the requirements of § 31-5603.02(b) , § 31-5603.03(b) , or § 31-5603.04(b) ;

(3)Act as a broker-dealer, agent, investment adviser, or investment adviser representative unless licensed as required under § 31-5602.01 or § 31-5602.02 ; or

(4)Fail to file with the Commissioner an application, report, or document required to be filed under this chapter, or any rule or regulation adopted by the Commissioner under this chapter, or to fail to comply with the terms of an order issued by the Commissioner issued under this chapter.

Free access — add to your briefcase to read the full text and ask questions with AI

A person shall not:

(1) Offer or sell a security except in accordance with this chapter;

(2) Deliver to a purchaser a security required to be registered under § 31-5603.01 unless accompanied or preceded by a registration statement that meets the requirements of § 31-5603.02(b) , § 31-5603.03(b) , or § 31-5603.04(b) ;

(3) Act as a broker-dealer, agent, investment adviser, or investment adviser representative unless licensed as required under § 31-5602.01 or § 31-5602.02 ; or

(4) Fail to file with the Commissioner an application, report, or document required to be filed under this chapter, or any rule or regulation adopted by the Commissioner under this chapter, or to fail to comply with the terms of an order issued by the Commissioner issued under this chapter.