Securities Bureau The Securities Bureau: regulates securities professionals in the District of Columbia; licenses broker-dealer firms and their agents, agents of issuers, and investment advisers and their representatives; protects investor/consumers by insuring that securities entities and representatives operating in the District comply with the District's securities laws; conducts investor education through outreach activities in the community; and is a member of the North American Securities Administrators Association, Inc (NASAA). NASAA is the voice of state securities agencies responsible for grass-roots investor protection and efficient capital formation. The Securities Bureau has one office and three divisions: Office of Securities Associate Commissioner, Securities  Licensing Division Corporate Finance Division  Examination Division Office of Securities Associate Commissioner: oversees the daily operations of the Securities Bureau; plans and directs a refined and well-coordinated securities regulatory program; makes final determination on the licensing status of regulated securities entities; plans and maintains creative outreach programs to meet the informational needs of DC investors; and recommends securities programs and courses to develop and train Securities Bureau personnel. Licensing Division: administers the licensing requirements applicable to investment advisers, investment adviser representatives, broker-dealers and broker-dealer agents, and agents of issuers operating in the District of Columbia. monitors the Continuing Education program; Corporation Finance Division: administers registration filings and notice filings of securities offerings; reviews and analyzes financial statements of business entities to ensure full disclosure by registrants;  Examinations Division: conducts on-site inspections of investment advisers and broker-dealers to ensure compliance with applicable rules and statutes; investigates and resolves complaints regarding allegations of misconduct by Securities Professionals operating in the District of Columbia; and refers suspected illegal activities to the Enforcement and Investigation Bureau for investigation.