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2020 Revised Code of Washington
Title 21 - Securities and Investments
Chapter 21.20 - Securities Act of Washington.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 21.20.810 Application of chapter not limited.
- 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.
- 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.
NOTES:
Reviser's note: Powers, duties, and functions of the department of licensing relating to securities were transferred to the department of financial institutions by 1993 c 472, effective October 1, 1993. See RCW 43.320.011.
"Bucket shop": RCW 9.47.080, 9.47.090.
Business corporations: Title 23B RCW.
Camping resort contracts—Nonapplicability of certain laws to: RCW 19.105.510.
Corporate seals, effect of nonuse: RCW 64.04.105.
Exemption of timeshares from chapter: RCW 64.36.290.
False stock subscriptions: RCW 9.24.010.
Fraudulent issue of stock: RCW 9.24.020.
Life settlements: Chapter 48.102 RCW.
Negotiable instruments: Title 62A RCW.
Permit to sell stock of domestic insurance company: Chapter 48.06 RCW.
Public service company securities: Chapter 81.08 RCW.
Sale of capital notes and debentures by banks and trust companies: Chapter 30A.36 RCW.
Securities of public utilities: Chapter 80.08 RCW.
Trust receipts: Title 62A RCW.
Uniform Commercial Code—Investment securities: Article 62A.8 RCW.
Written statement of purchase or sale to be furnished market trader: RCW 9.47.100.
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