D.C. Municipal Regulations (Last Updated: September 13, 2017) |
Title 26. INSURANCE, SECURITIES, AND BANKING |
SubTilte 26-B. SECURITIES |
Chapter 26-B1. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES |
Section 26-B106. REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE
Latest version.
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106.1An 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.
106.2An 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.
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).