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District of Columbia Code Division V. Local Business Affairs § 31-5607.04. Cooperation with other agencies.

Current as of January 01, 2024 | Updated by Findlaw Staff

(a) To encourage uniform interpretation and administration of this chapter and effective securities regulation and enforcement, the Commissioner may cooperate with the securities agencies or administrators of one or more states, Canadian provinces or territories, or another country, the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Securities Investor Protection Corporation, any self-regulatory organization, any national or international organization of securities officials or agencies, and any governmental law enforcement or regulatory agency.

(b) The cooperation authorized by subsection (a) shall include the following actions:

(1) Establishing a central depository for registration under this chapter and for documents or records required or allowed to be maintained under this chapter;

(2) Making a joint registration examination or investigation;

(3) Holding a joint administrative hearing;

(4) Filing and prosecuting a joint civil or administrative proceeding;

(5) Sharing and exchanging personnel;

(6) Sharing and exchanging information and documents; and

(7) Formulating rules or proposed rules, statements of policy, guidelines, and interpretative opinions and releases.

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Cite this article: FindLaw.com - District of Columbia Code Division V. Local Business Affairs § 31-5607.04. Cooperation with other agencies. - last updated January 01, 2024 | https://codes.findlaw.com/dc/division-v-local-business-affairs/dc-code-sect-31-5607-04/

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