{"data":{"id":"us-dc/d.c.-code-31-5605.01","jurisdiction":"us-dc","citation":"D.C. Code § 31-5605.01","heading":"Unlicensed or unregistered activity.","body":"A person shall not:\n\n(1)\nOffer or sell a security except in accordance with this chapter;\n\n(2)\nDeliver 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);\n\n(3)\nAct as a broker-dealer, agent, investment adviser, or investment adviser representative unless licensed as required under § 31-5602.01 or § 31-5602.02; or\n\n(4)\nFail 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.","path":["Title 31. Insurance and Securities.","Chapter 56. Securities.","Subchapter V. Fraudulent and Other Prohibited Practices."],"source_url":"https://code.dccouncil.gov/us/dc/council/code/sections/31-5605.01","current_through":"2026-08-20 (D.C. Law 26-175)","vintage":"","retrieved_at":"2026-08-29T05:44:07Z","sha256":"b63211e937c5c0eb54be30c597bb0cbeaad4d8b214d998e6809cc80733d35c67","source_id":"us-dc","stale":false,"prev":"us-dc/d.c.-code-31-5604.06","next":"us-dc/d.c.-code-31-5605.02"},"notice":"GroundRules: Original legal text. Not legal advice."}