There is a newer version of the Revised Code of Washington
2015 Revised Code of Washington
Title 21 - SECURITIES AND INVESTMENTS
21.20 Securities act of Washington.
DEFINITIONS
FRAUDULENT AND OTHER PROHIBITED PRACTICES
- 21.20.010 Unlawful offers, sales, purchases.
- 21.20.020 Unlawful acts of person advising another.
- 21.20.030 Unlawful acts of investment adviser.
- 21.20.035 Unlawful purchases or sales for customer's account.
VARIABLE CONTRACTS
REGISTRATION AND NOTICE FOR BROKER-DEALERS,
SALESPERSONS, INVESTMENT ADVISERS,
AND INVESTMENT ADVISER SALESPERSONS
- 21.20.040 Registration and notification required—Exemptions.
- 21.20.050 Application for registration—Filing of documents—Consent to service of process—Fee.
- 21.20.060 Contents of application for registration—Capital requirements.
- 21.20.070 When registration effective—Requirements determined by rule.
- 21.20.080 Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period.
- 21.20.090 Renewal of registration—Financial reports—Application for a successor.
- 21.20.100 Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination.
- 21.20.110 Director may deny, suspend, revoke, restrict, condition, or limit any application or registration—Director may censure or fine registrant—Grounds—Procedures—Costs—Accounting.
- 21.20.120 Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions.
- 21.20.130 Cancellation of registration or application—Grounds.
- 21.20.135 License as salesperson or broker-dealer prerequisite to suit for commission.
REGISTRATION OF SECURITIES
REGISTRATION BY COORDINATION
- 21.20.180 Registration by coordination—Requirements—Statement, contents.
- 21.20.190 Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification.
- 21.20.200 Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions.
REGISTRATION BY QUALIFICATION
- 21.20.210 Registration by qualification—Statements—Requirements—Audits.
- 21.20.220 Information not required when nonissuer distribution.
- 21.20.230 Time of taking effect of registration statement by qualification—Conditions.
GENERAL PROVISIONS REGARDING REGISTRATION
OF SECURITIES
- 21.20.240 Registration statements—Generally.
- 21.20.250 Registration by qualification or coordination—Escrow—Impounding proceeds.
- 21.20.260 Registration by coordination or qualification—Offer and sale—Duration of effectiveness.
- 21.20.270 Reports by filer of statement—Annual financial statements.
- 21.20.275 Pending registration—Notice of termination—Application for continuation.
DENIAL, SUSPENSION AND REVOCATION
OF REGISTRATION OF SECURITIES
- 21.20.280 Stop orders—Grounds.
- 21.20.290 Stop order prohibited if facts known on effective date of statement.
- 21.20.300 Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.
EXEMPT SECURITIES
EXEMPT TRANSACTIONS
EXEMPT SECURITIES AND TRANSACTIONS
FEDERAL COVERED SECURITY
CONSENT TO SERVICE OF PROCESS
FEES
MISLEADING FILINGS
UNLAWFUL REPRESENTATIONS CONCERNING REGISTRATION
OR EXEMPTION
INVESTIGATIONS AND SUBPOENAS
- 21.20.370 Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information.
- 21.20.377 Subpoena authority—Application—Contents—Notice—Fees.
- 21.20.380 Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
INJUNCTIONS AND OTHER REMEDIES
- 21.20.390 Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting.
- 21.20.395 Administrative action—Hearing—Judicial review—Judgment.
CRIMINAL LIABILITIES
- 21.20.400 Penalty for violation of chapter—Limitation of actions (as amended by 2003 c 288).
- 21.20.400 Penalty for violation of chapter—Limitation of actions (as amended by 2003 c 53).
- 21.20.410 Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.
- 21.20.420 Criminal punishment, chapter not exclusive.
CIVIL LIABILITIES
DISCONTINUANCE OF VIOLATIONS
JUDICIAL REVIEW OF ORDERS
ADMINISTRATION OF CHAPTER
- 21.20.450 Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.
- 21.20.460 Administrator of securities—Appointment, qualifications, term, etc.
- 21.20.470 Compensation, travel expenses of administrator and employees.
- 21.20.480 Unlawful use or disclosure of filed information.
- 21.20.490 No liability under chapter for act in good faith.
- 21.20.500 Administrative hearings public—Exception.
- 21.20.510 Document filed when received—Register—Inspection of register, information, etc.
- 21.20.520 Copies of entries, documents to be furnished—Copies as prima facie evidence.
- 21.20.530 Interpretative opinions by director.
PROOF OF EXEMPTION
ADDITIONAL PROVISIONS
- 21.20.700 Investigations and examinations—Additional authority—Scope.
- 21.20.702 Suitability of recommendation—Reasonable grounds required.
- 21.20.705 Debenture companies—Definitions.
- 21.20.710 Debenture companies—Capital requirements.
- 21.20.715 Debenture companies—Maturity date requirements.
- 21.20.717 Debenture companies—Controlling person—Exceptions.
- 21.20.720 Debenture companies—Prohibited activities by directors, officers, or controlling persons.
- 21.20.725 Debenture companies—Debentures payable on demand—Interest—Certificates of debenture.
- 21.20.727 Debenture companies—Acquisition of control—Requirements—Violation—Penalty.
- 21.20.730 Debenture companies—Acquisition of control—Grounds for disapproval.
- 21.20.732 Debenture companies—Notice of charges—Hearing—Cease and desist orders.
- 21.20.734 Debenture companies—Temporary cease and desist orders.
- 21.20.740 Reports—Requirements.
- 21.20.745 Reports—Violations of reporting requirements—Penalties—Contribution.
- 21.20.750 Reports—Suspension of sale of securities until reporting requirements complied with.
- 21.20.800 Severability—1973 1st ex.s. c 171.
- 21.20.805 Effective date—Construction—1973 1st ex.s. c 171.
- 21.20.810 Application of chapter not limited.
- 21.20.815 Debenture companies—Equity investments.
- 21.20.820 Debenture companies—Loans to any one borrower—Limitations.
- 21.20.825 Debenture companies—Bad debts.
- 21.20.830 Debenture companies—Investments in unsecured loans.
- 21.20.835 Debenture companies—Debenture holders—Notice of maturity date of debenture.
- 21.20.840 Debenture companies—Annual financial statement.
- 21.20.845 Debenture companies—Rules.
- 21.20.850 Debenture companies—Record maintenance and preservation—Examination.
- 21.20.855 Examination reports and information—Exempt from public disclosure—Use in civil actions.
- 21.20.860 Construction—Chapter applicable to state registered domestic partnerships—2009 c 521.
SMALL SECURITIES OFFERINGS
- 21.20.880 Small securities offerings—Exemptions—Quarterly reports—Disqualification provisions.
- 21.20.883 Portals—Qualifications and use—Requirements.
- 21.20.886 Rule making for small securities offerings.
STATUTORY POLICY
SEVERABILITY OF PROVISIONS
REPEAL AND SAVING PROVISIONS
- 21.20.910 Saving—Civil, criminal proceedings.
- 21.20.915 Saving—Prior effective registrations.
- 21.20.920 Application of prior law.
- 21.20.925 Judicial review of prior administrative orders.
- 21.20.930 Solicitation permits under insurance laws not limited.
- 21.20.935 Repealer.
SHORT TITLE
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