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District of Columbia Investment Advisor & Broker-Dealer Bonds


What is a District of Columbia Investment Advisor / Broker-Dealer Bond?

The Department of Insurance, Securities and Banking of the District of Columbia requires that investment advisers and broker-dealers furnish a surety bond to guarantee professional conduct and compliance with the rules and regulations set out by the District. The surety bond is commonly required in an amount, or coverage of $10,000 and is issued for the benefit of the District of Columbia or those financially damaged due to fraud or other violations on the part of the bonded principal.

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Investment Advisor / Broker-Dealer Bond

$10,000 Bond

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