Section: 26-B161

INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS (Rename History)

Most recent version of the final adopted rule codified in the D.C. Municipal Regulations (DCMR)


Effective Date : 7/1/2022 12:00:00 AM

Authority : Section 211 of the Securities Act of 2000, effective October 26, 2000 (D.C. Law 13-203; D.C. Official Code § 31–5602.11).

Source : 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); as amended by Final Rulemaking published at 60 DCR 16653 (December 6, 2013); as amended by Final Rulemaking published at 69 DCR 007987 (July 1, 2022).

Editor's Note :

Rulemaking notices were published in the D.C. Register(DCR) and Adopted Rules were codified into the D.C. Municipal Regulations (DCMR)

  Notice ID Register Category Heading Notice/
Adopted Section 		Register Issue/
Effective Date
R0052014 Adopted Rule INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS View Text Effective:
7/1/2022
N123207 Final Rulemaking Insurance, Securities, and Banking, Department of - Notice of Final Rulemaking - Investment Adviser Representative Continuing Education Requirements View Text 7/1/2022
Vol 69/26
N121055 Proposed Rulemaking Insurance, Securities, and Banking, Department of - Notice of Proposed Rulemaking - Investment Adviser Representative Continuing Education Requirements View Text 4/22/2022
Vol 69/16
N0045565 Final Rulemaking Final Rulemaking amending the fingerprint requirement, procedures, and fee rules for agents, broker-dealers, investment advisers and investment adviser representatives View Text 12/6/2013
Vol 60/52
N0044326 Proposed Rulemaking Proposed Rulemaking to amend Title 26B Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives View Text 9/20/2013
Vol 60/40
R0014495 Adopted Rule INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS View Text Effective:
12/6/2013
R0025315 Adopted Rule INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS View Text Effective:
1/1/1900
Other rules using the same rule number