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-B162. FILING PROCEDURES
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162.1All relevant time periods in the Act for processing of filings will begin running on the first business day after the date the document is received by the Department.
162.2Any electronic method acceptable to the Department may be used to make any filings. The filing of documents and information using such an electronic method is equivalent to paper filing of documents and information with the Department.
162.3Filings, other than those required to be filed on the IARD system, that are directed to the Department by means of facsimile will be accepted as complying with the requirements of the Act and these regulations, provided the filer sends the original signed document to the Department postmarked not later than the next business day after the facsimile transmission.