There Is a Newer Version of the Revised Code of Washington
2012 Revised Code of Washington
Title 21 - SECURITIES AND INVESTMENTS
21.20 Securities act of Washington.
DEFINITIONSFRAUDULENT 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.
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.
- 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.
- 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.
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.
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.
OR EXEMPTIONINVESTIGATIONS 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.
- 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.
- 21.20.400 Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 288).
- 21.20.410 Attorney general, prosecuting attorney may institute criminal proceeding -- Referral of evidence by director.
- 21.20.420 Criminal punishment, chapter not exclusive.
- 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.
- 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.
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