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District of Columbia Investment Advisor & Broker-Dealer Bonds


District of Columbia Investment Advisor / Broker-Dealer Bond Information

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.

How Much Does an Investment Advisor or Broker-Dealer Bond Cost in District of Columbia?

Investment Advisor / Broker-Dealer Bond

$10,000 Bond

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