D.C. Mun. Regs. tit. 26, r. 26-B124
The Commissioner may make a periodic examination of broker-dealers and may charge a reasonable fee for the examination, consistent with these regulations.
When making any examination under these regulations, the Commissioner may retain or require the examinee to retain independent accountants, auditors, examiners, and other persons to perform the examination on behalf of the Commissioner.
The Commissioner may cooperate with national securities associations and national and regional securities exchanges, and with the Securities and Exchange Commission in administering examinations of any broker-dealer.
The fee for an on-site examination of a broker-dealer shall be the actual amount of the compensation paid to each employee for their time, including the preparation of any written report of the examination, audit, or investigation that reasonably be needed in the discharge of the Commissioner's duties.
The Commissioner may charge a reasonable fee in excess of the amount in § 124.4 involving an examination of a broker-dealer if extenuating or unforeseen circumstances arise during the course of the examination.
The Commissioner may charge a reasonable fee in excess of the amount in § 124.4 to defray the cost of any examination of a broker-dealer, which involves out-of-town travel.
D.C. Mun. Regs. tit. 26, r. 26-B124