01. Unlicensed or unregistered activity. 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. (Oct. 26, 2000, D.C. Law 13-203, § 501, 47 DCR 7837.) Section References This section is referenced in § 31-5606.04 and § 31-5608.01.
District of Columbia Legal Code