District Of Columbia § 31-5605.01 - Unlicensed or unregistered activity.
Full text of District Of Columbia D.C. Code § 31-5605.01 — Unlicensed or unregistered activity., with citation guidance and answers to common questions.
§ 31-5605.01. Unlicensed or unregistered activity.
31-5605.01A person shall not:
Offer or sell a security except in accordance with this chapter;
Deliver to a purchaser a security required to be registered under unless accompanied or preceded by a registration statement that meets the requirements of , , or ;
Act as a broker-dealer, agent, investment adviser, or investment adviser representative unless licensed as required under or ; or
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.
Annotations
Source: official District Of Columbia text · Last verified 2026-08-27
Frequently Asked Questions About District Of Columbia § 31-5605.01
What does D.C. Code § 31-5605.01 cover?
Section 31-5605.01 ("Unlicensed or unregistered activity.") is part of the D.C. Code, the codified statutory law of District Of Columbia. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite District Of Columbia § 31-5605.01?
A common citation format is "D.C. Code § 31-5605.01" (District Of Columbia). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of District Of Columbia law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the District Of Columbia official source linked on this page or consult a licensed District Of Columbia attorney.
How does District Of Columbia § 31-5605.01 apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in District Of Columbia can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in District Of Columbia.