reglab/housing_qa huggingface dataset:
DC Code § 31-5606.02 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VI - Enforcement, Criminal, and Civil Liability|§ 31-5606.02. Enforcement — Administrative

(a) Whenever the Commissioner determines that a person has engaged, or is about to engage, in an act or practice constituting a violation of any provision of this chapter or any rule or order hereunder, and that immediate action against such person is in the public interest, the Commissioner may issue, without a hearing, a summary order directing the person to cease and desist from engaging in such activity; provided, that the summary cease and desist order shall give the person: (1) Notice of the opportunity for a hearing before the Commissioner to determine whether the summary cease and desist order should be vacated, modified, or entered as final; and (2) Notice that the summary cease and desist order will be entered as final if the person does not request a hearing within 15 days of the receipt of the summary cease and desist order. (b) Whenever the Commissioner determines after notice and a hearing, unless the right to a hearing is waived, that a person has engaged in an act or practice constituting a violation of this chapter or any rule or order adopted under this chapter, the Commissioner may, in addition to taking any other action authorized under this chapter: (1) Issue a cease and desist order against the person; (2) Censure the person if the person is licensed under this chapter; (3) Bar the person from engaging in the securities business or investment advisory business in the District; (4) Issue an order against the person imposing a civil penalty up to $10,000 for any single violation of this chapter; or (5) Issue an order requiring the person to pay restitution and reasonable costs of the hearing.  (Oct. 26, 2000, D.C. Law 13-203, § 602, 47 DCR 7837; June 25, 2002, D.C. Law 14-150, § 2(k), 49 DCR 4238.)  Section References This section is referenced in § 31-5607.08. Effect of Amendments D.C. Law 14-150, in subsec. (b), deleted “, or his or her designee,” following “Whenever the Commissioner”.
DC Code § 31-5606.03 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VI - Enforcement, Criminal, and Civil Liability|§ 31-5606.03. Enforcement — Judicial

(a) Whenever it appears to the Commissioner that a person is about to engage in any act or practice constituting a violation of any provision of this chapter or any rule or order adopted under this chapter, the Commissioner may request the Corporation Counsel to bring an action in the Superior Court of the District of Columbia to obtain one or more of the following remedies: (1) Temporary restraining order; or (2) Temporary or permanent injunction. (b) Whenever it appears to the Commissioner that a person has engaged in any act or practice constituting a violation of any provision of this chapter or any rule or order hereunder, the Commissioner may request the Corporation Counsel to bring an action in the Superior Court of the District of Columbia to obtain one or more of the following remedies: (1) Temporary restraining order; (2) Temporary or permanent injunction; (3) A civil penalty not to exceed $10,000 for a single violation; (4) A declaratory judgment; (5) Appointment of a receiver or conservator for the defendant or the defendant’s assets; (6) A freeze of the defendant’s assets; or (7) Any other relief as the court deems just, such as rescission, restitution, or disgorgement. (c) The court shall not require the Commissioner to post a bond in any action under this section.  (Oct. 26, 2000, D.C. Law 13-203, § 603, 47 DCR 7837.)
DC Code § 31-5606.04 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VI - Enforcement, Criminal, and Civil Liability|§ 31-5606.04. Criminal penalties

(a) Any person who violates § 31-5605.01 shall be guilty of a misdemeanor and, upon conviction thereof, shall pay a fine of not more than $1,000, be imprisoned for not more than one year, or both. All prosecutions under this subsection shall be upon information filed in the Superior Court of the District of Columbia in the name of the District by the Corporation Counsel or any of his or her assistants. (b) Any person who knowingly or intentionally violates any of the provisions of § 31-5605.02, § 31-5605.03, § 31-5605.04, or § 31-5605.05(b), shall be guilty of fraud in the second degree, as defined in § 22-3221(b). (c) Any person who knowingly or intentionally violates any of the provisions of § 31-5605.02, § 31-5605.03, § 31-5605.04, or § 31-5605.05(b), by use of a plan, program, or campaign that is conducted using one or more telephones or other electronic means of communication for the purpose of inducing the purchase or sale of securities, shall be guilty of fraud in the first degree, as defined in § 22-3221(a). (d) No prosecution for a violation of this chapter shall bar, or be barred by, a prosecution for the violation of any other law. All prosecutions under this chapter, or based upon any provision of this chapter, shall be commenced within 3 years after the violation upon which the prosecution is based. If the accused person has intentionally concealed evidence of a violation of § 31-5605.02, § 31-5605.03, § 31-5605.04, or § 31-5605.05(b), the period of limitation prescribed in this subsection shall be extended up to an additional 2 years after the prosecuting officer becomes aware of the offense. (e) Nothing in this chapter shall limit the power of the District to punish a person for conduct constituting a crime under other law.  (Oct. 26, 2000, D.C. Law 13-203, § 604, 47 DCR 7837.)
DC Code § 31-5607.01 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.01. Administration of chapter

This chapter shall be administered by the Commissioner.  (Oct. 26, 2000, D.C. Law 13-203, § 701, 47 DCR 7837.)
DC Code § 31-5607.02 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.02. Prohibitions on use of information

The Commissioner or an employee of the Commissioner shall not use for personal gain or benefit information filed with or obtained by the Commissioner which is not public information. The Commissioner or an employee of the Commissioner shall not conduct securities dealings based upon information filed with or obtained by the Commissioner, even though public, if there has not been sufficient time for the securities markets to assimilate the information.  (Oct. 26, 2000, D.C. Law 13-203, § 702, 47 DCR 7837.)
DC Code § 31-5607.03 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.03. Public information; confidentiality

(a) Except as provided in subsection (b) of this section, information and documents filed with, or obtained by, the Commissioner shall be available for public examination under subchapter II of Chapter 5 of Title 2. (b) The following information and documents shall not constitute public information under subsection (a) of this section: (1) Information or documents obtained by the Commissioner in connection with an investigation under § 31-5606.01; and (2) Information or documents filed with the Commissioner in connection with a registration statement under subchapter III of this chapter or a report under § 31-5602.04 constituting trade secrets or commercial or financial information of a person for which a person is entitled to a claim of confidentiality or privilege.  (Oct. 26, 2000, D.C. Law 13-203, § 703, 47 DCR 7837.)
DC Code § 31-5607.04 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.04. Cooperation with other agencies

(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.  (Oct. 26, 2000, D.C. Law 13-203, § 704, 47 DCR 7837.)
DC Code § 31-5607.05 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.05. Rules, forms, and orders

(a) In addition to specific authority otherwise granted by this chapter, the Commissioner: (1) Shall adopt, as a rule, a description of the general course and method of where and how a person may obtain information or make a submission or request; (2) Shall adopt rules of practice setting forth the nature and requirements of all formal and informal procedures available to a person, including all forms that are to be used by a person dealing with the Commissioner; (b) To keep rules adopted by the Commissioner in harmony with the regulations adopted by the Securities and Exchange Commission under the federal securities laws and to encourage uniformity with the rules of securities agencies and administrators in other states, the Commissioner, so far as is consistent with this chapter, shall take into consideration the regulations adopted by the Securities and Exchange Commission and the rules of securities agencies and administrators in other states which have enacted a law comparable to this chapter. (c) Unless specifically provided in this chapter to the contrary, a rule or order may not be adopted, amended, or repealed unless the Commissioner determines that the action is in the public interest and appropriate for the protection of investors and is consistent with the purposes fairly intended by the policy and provisions of this chapter. (d) The Commissioner may, by rule or order, prescribe the form and content of financial statements required under this chapter, the circumstances under which consolidated financial statements must be filed, and whether a required financial statement must be certified and by whom. Unless the Commissioner provides, by rule or order, otherwise, and subject to the limitations of section 15 of the Securities Exchange Act of 1934 [15 U.S.C. § 78o] and section 222 of the Investment Advisers Act of 1940 [15 U.S.C. § 80b-18a], a financial statement required under this chapter must be prepared in accordance with generally accepted accounting principles or other accounting principles as are prescribed for the issuer of the financial statement by the Securities and Exchange Commission.  (Oct. 26, 2000, D.C. Law 13-203, § 705, 47 DCR 7837.)
DC Code § 31-5607.07 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.07. Administrative files and records

(a) The Commissioner shall keep one or more registers of all applications for licensing and registration under this chapter, all notice filings, licenses and registration statements that become effective under this chapter, all disciplinary and enforcement orders issued and reports of investigation made under this chapter, all declaratory orders and rulings issued under this chapter, and all other orders issued under this chapter. (b) The Commissioner shall retain: (1) All licenses and related applications and all registration statements and notice filings currently effective or that have been effective within the last 5 years; (2) All licenses and related applications and all registration statements that have been denied, suspended, or revoked within the last 5 years and the order of suspension, denial, or revocation; (3) All investigatory files under this chapter that are open or that have been closed within the last 5 years and any disciplinary or closure orders pertaining to the files; (4) The transcript or record of all administrative hearings held during the last 5 years; and (5) All other orders of the Commissioner entered under this chapter. (c) All records required to be maintained pursuant to subsections (a) and (b) of this section may be maintained in any form of data storage. Upon request, the Commissioner shall certify under the seal of the Department a copy as being a true and correct copy of the records maintained by the Department. The Commissioner may, by rule, establish reasonable charges for furnishing or certifying copies. In an investigation or proceeding, a copy so certified shall be prima facie evidence of the contents of the records certified.  (Oct. 26, 2000, D.C. Law 13-203, § 707, 47 DCR 7837.)
DC Code § 31-5607.08 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.08. Provisions applicable to administrative proceedings

(a) All actions of the Commissioner, including administrative proceedings, adoption of rules, and issuance of orders shall be governed by subchapter I of Chapter 5 of Title 2; provided, that: (1) The issuance of a stop order under § 31-5603.03(e) shall be governed by § 31-5603.03(e); and (2) The issuance of a summary order under § 31-5606.02(a) shall be governed by § 31-5606.02(a).  (Oct. 26, 2000, D.C. Law 13-203, § 708, 47 DCR 7837.)
DC Code § 31-5607.09 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VII - Administration|§ 31-5607.09. Electronic filings

(a) The Commissioner may, by rule or order, prescribe acceptable methods for filing applications, forms, notices, prospectuses, registration statements, or other documents with the Department in electronic form. (b) The Commissioner may, by rule or order, prescribe acceptable methods for executing electronic signatures or otherwise for documents filed with the Department in electronic form. (c) An electronic signature used in connection with an electronic filing shall have the same legal effect as a manual signature.  (Oct. 26, 2000, D.C. Law 13-203, § 709; as added June 25, 2002, D.C. Law 14-150, § 2(l), 49 DCR 4238.)
DC Code § 31-5608.01 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VIII - Miscellaneous Provisions|§ 31-5608.01. Scope of Chapter

(a) Sections 31-5602.01, 31-5603.01, 31-5605.01, or 31-5605.02, 31-5605.05, and 31-5606.05 shall apply to a person who sells, or offers to sell, when an offer to sell is made in the District or an offer to purchase is made and accepted in the District. (b) Sections 31-5602.01, 31-5605.01, or 31-5605.02, and 31-5605.05 shall apply to a person who purchases, or offers to purchase, when an offer to purchase, is made in the District or an offer to sell is made and accepted in the District. (c) For the purpose of this section, an offer to sell or to purchase is made in the District, whether or not either person is present in the District, if the offer originates in the District, or is directed by the offeror to a destination in the District and received where it is directed or at a post office in the District if the offer is mailed. (d) For the purpose of this section, an offer to purchase or to sell is accepted in the District if the acceptance is communicated to the offeror in the District and has not previously been communicated to the offeror, orally or in writing, outside the District. The acceptance is communicated to the offeror in the District, whether or not either party is then present in the District, when the offeree directs it to the offeror in the District reasonably believing the offeror to be in the District and it is received at the place to which it is directed or at any post office in the District in the case of a mailed acceptance. (e) An offer to sell or purchase is not made in the District when the publisher circulates, or there is circulated on the publisher’s behalf, in the District a bona fide newspaper or other publication of general, regular, and paid circulation which is not published in the District, or which is published in the District, but has had more than 2/3 of its circulation outside the District during the last 12 months, or a radio or television program originating outside the District is received in the District.  (Oct. 26, 2000, D.C. Law 13-203, § 801, 47 DCR 7837.)
DC Code § 31-5608.02 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VIII - Miscellaneous Provisions|§ 31-5608.02. District of Columbia Securities Advisory Committee. [Repealed]

Repealed.  (Oct. 26, 2000, D.C. Law 13-203, § 802, 47 DCR 7837; May 2, 2015, D.C. Law 20-271, § 261, 62 DCR 1884.)  Emergency Legislation For temporary (90 days) repeal of this section, see § 261 of the New Columbia Statehood Initiative, Omnibus Boards and Commissions, and Election Transition Reform Emergency Amendment Act of 2014 (D.C. Act 20-481, Nov. 18, 2014, 61 DCR 12133, 20 STAT 4405). For temporary (90 days) repeal of this section, see § 261 of the New Columbia Statehood Initiative, Omnibus Boards and Commissions, and Election Transition Reform Congressional Review Emergency Amendment Act of 2015 (D.C. Act 21-7, Feb. 26, 2015, 62 DCR 2646, 21 STAT 807).
DC Code § 31-5608.03 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VIII - Miscellaneous Provisions|§ 31-5608.03. Judicial review

(a) If a hearing is conducted under the contested case procedure in accordance with § 2-509, a person suffering a legal wrong, or adversely affected or aggrieved, by an order or decision may appeal to the District of Columbia Court of Appeals in accordance with § 2-510. (b) The filing of an appeal under this section shall not stay the application of a rule, regulation, order, or other action of the Commissioner to the appealing party unless the court, after giving the appealing party notice and an opportunity to be heard, determines that failure to grant a stay would be detrimental to the interest of policyholders, shareholders, creditors, or the public.  (Oct. 26, 2000, D.C. Law 13-203, § 803, 47 DCR 7837; June 19, 2001, D.C. Law 13-313, § 22, 48 DCR 1873; June 25, 2002, D.C. Law 14-150, § 2(m), 49 DCR 4238.)  Effect of Amendments D.C. Law 13-313 rewrote subsec. (a) which had read: “(a) A person aggrieved by an act, determination, rule, regulation, order, or any other action of the Mayor, may appeal to the District of Columbia Court of Appeals in accordance with § 2-510.” D.C. Law 14-150 substituted “Commissioner” for “Mayor” throughout the section.
DC Code § 31-5608.04 (2021)
2021 District of Columbia Code|Title 31 - Insurance and Securities|Chapter 56 - Securities|Subchapter VIII - Miscellaneous Provisions|§ 31-5608.04. Repeal and transition provisions

(a) Chapters 36 and 37 of Title 3 (“prior law”), are repealed, subject to the transition provisions of subsections (b) through (e) of this section. (b) Prior law shall govern all suits, actions, prosecutions, or proceedings which are pending or may be initiated on the basis of facts or circumstances occurring before October 26, 2000. (c) A civil suit or action shall not be maintained to enforce a liability under prior law unless brought within the period of limitation which applied when the cause of action accrued and, in any event, no later than 2 years after October 26, 2000. (d) All effective registrations and notice filings under prior law, all administrative orders relating to such registrations and notice filings, and all conditions imposed upon such registrations shall apply to the extent they would have applied under prior law. (e) All no-action and opinion letters, administrative orders, and waivers issued under prior law or regulation shall apply to the extent they would have applied under prior law.  (Oct. 26, 2000, D.C. Law 13-203, § 804, 47 DCR 7837.)
DC Code § 32-101 (2021)
2021 District of Columbia Code|Title 32 - Labor|Chapter 1 - Displaced Workers Protection|Subchapter I - [General]|§ 32-101. Covered employees

(a) This chapter shall apply to the following employees, except persons employed less than 15 hours per week and except persons employed in an executive, administrative, or professional capacity as defined by the Secretary of Labor under § 13(a)(1) of the Fair Labor Standards Act (29 U.S.C. § 213(a)(1)) or required by District of Columbia law in effect on April 26, 1994, to possess an occupational license: (1) Employees hired by a contractor as food service workers in a hotel, restaurant, cafeteria, apartment building, hospital, nursing care facility, or similar establishment; (2) Employees hired by a contractor to perform janitorial or building maintenance services in an office building, institution, or similar establishment; (3) Nonprofessional employees hired by a contractor to perform health care or related support services in a hospital, nursing care facility, or similar establishment; and (4) Employees hired by a contractor to perform security services in an office building, institution, or similar establishment; provided, that special police officers who are armed, and employees hired by a contractor to perform security services for the Board of Education or a public charter school shall not be included. (b) For the purposes of this chapter “contractor” includes a subcontractor and means an individual or company that employs 25 or more persons.  (Apr. 26, 1994, D.C. Law 10-105, § 2, 41 DCR 1011; June 8, 2006, D.C. Law 16-118, § 402, 53 DCR 2602; Mar. 25, 2009, D.C. Law 17-353, § 114, 56 DCR 1117.)  Prior Codifications 1981 Ed., § 36-1501. Effect of Amendments D.C. Law 16-118 added par. (a)(4). D.C. Law 17-353 validated a previously made technical correction in the punctuation in subsecs. (a)(1), (2), and (3). Editor's Notes Mayor authorized to issue rules: Section 5 of D.C. Law 10-105 provided that the Mayor shall promulgate rules to implement this chapter.