An ordinary District of Columbia broker-dealer agent files Form U4 through Web CRD and pays $45 initially, at annual renewal, and on transfer. Qualification uses the product or activity examination applicable to the securities activity. Registration expires December 31 unless renewed. A one-time $50 fingerprint-processing charge applies only when no fingerprint record is available through CRD or IARD and the DISB process is required.
Prelicensing education
- Education requirement explanation
- The product or activity examination must match the securities activity; examination passage alone is not registration.
Background
- Fingerprint / background instructions
- Use the DISB fingerprint process and pay the one-time $50 charge only when no CRD or IARD fingerprint record is available.
Application
- Application fee
- $45 initial, $45 annual renewal, and $45 transfer; conditional one-time $50 fingerprint processing.
- Application channel / system
- The employing FINRA-member broker-dealer files Form U4 through Web CRD and obtains District approval before activity.
- Official application reference
- https://disb.dc.gov/page/initial-licensing-broker-dealer-agents
Renewal & maintenance
- CE hours
- No separate District state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- The current validity rule preserves its conditional two-year, recent-registration, and FINRA MQP routes; none is automatic.
Military / veteran / spouse
- Military experience / education credit
- No broad military waiver or credit is asserted.
Source governance
- Primary authoritative source
- https://disb.dc.gov/sites/default/files/dc/sites/disb/publication/attachments/Securities-Bureau-Fees-Schedule.pdf
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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