There Is a Newer Version of the Revised Code of Washington
2009 Washington Code
Title 21 - Securities and investments
Chapter 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.
- 21.20.380 - 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 - Debenture companies -- 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.
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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