If you intend to act as the representative (IAR) of a Federal Covered Adviser or an Investment Adviser in the District of Columbia, you must obtain an Investment Adviser Representative license from DISB. Non-Federal, or State-Covered Investment Advisers (SCIAs) that engage in the District of Columbia in the business of advising others as to securities or as to the advisability of investing in, purchasing, or selling securities, or that issue or promulgate analyses or reports concerning securities in the District of Columbia must be licensed by DISB. Those firms must submit Notice Filings to DISB if they intend to conduct advisory business in the District of Columbia. Federal Covered Advisers (FCAs) are registered with the United States Securities and Exchange Commission (SEC).
If you intend to engage in the investment advisory business in the District of Columbia, you must first register or obtain a license from the Securities Bureau of the Department of Insurance, Securities and Banking (DISB).
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