Statutes, codes, and regulations
District Of Columbia Administrative Code
Title 26 - INSURANCE, SECURITIES AND BANKINGSubtitle 26-B - SECURITIES
Chapter 26-B1 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES
Rule 26-B106 - REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE

D.C. Mun. Regs. tit. 26, r. 26-B106

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Current through Register 71, No. 45, November 7, 2024
Rule 26-B106 - REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE
106.1

An agent or broker-dealer applicant whose application was denied under Section 207 of the Act (D.C.Official Code § 31-5602.07; D.C. Register at 47 DCR 7849) may not reapply for licensing until one (1) year after the initial application was acted upon, unless the Director in his discretion declares otherwise.

106.2

An individual who has not been licensed in any jurisdiction for a period of two (2) years shall be required to comply with the examination requirements of § 103.

D.C. Mun. Regs. tit. 26, r. 26-B106

Final Rulemaking published at 40 DCR 6732 (September 24, 1993); as amended by Emergency Rulemaking published at 48 DCR 1987 (March 2, 2001) [EXPIRED]; as amended by Final Rulemaking published at 48 DCR 4106 (May 11, 2001)