PocketLaw
Home
Catalog
Law Online
Teams
Our Free Mobile App
Securities Act of Washington.
Law
Revised Code of Washington
Securities and Investments
Securities Act of Washington.
Checkout our iOS App for a better way to browser and research.
Section
21.20.005
Definitions.
Section
21.20.010
Unlawful offers, sales, purchases.
Section
21.20.020
Unlawful acts of person advising another.
Section
21.20.030
Unlawful acts of investment adviser.
Section
21.20.035
Unlawful purchases or sales for customer's account.
Section
21.20.037
Variable contracts—Registration required—Rules.
Section
21.20.040
Registration and notification required—Exemptions.
Section
21.20.050
Application for registration—Filing of documents—Consent to service of process—Fee.
Section
21.20.060
Contents of application for registration—Capital requirements.
Section
21.20.070
When registration effective—Requirements determined by rule.
Section
21.20.080
Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period.
Section
21.20.090
Renewal of registration—Financial reports—Application for a successor.
Section
21.20.100
Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination.
Section
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.
Section
21.20.120
Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions.
Section
21.20.130
Cancellation of registration or application—Grounds.
Section
21.20.135
License as salesperson or broker-dealer prerequisite to suit for commission.
Section
21.20.140
Unlawful to offer or sell unregistered securities—Exceptions.
Section
21.20.180
Registration by coordination—Requirements—Statement, contents.
Section
21.20.190
Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification.
Section
21.20.200
Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions.
Section
21.20.210
Registration by qualification—Statements—Requirements—Audits.
Section
21.20.220
Information not required when nonissuer distribution.
Section
21.20.230
Time of taking effect of registration statement by qualification—Conditions.
Section
21.20.240
Registration statements—Generally.
Section
21.20.250
Registration by qualification or coordination—Escrow—Impounding proceeds.
Section
21.20.260
Registration by coordination or qualification—Offer and sale—Duration of effectiveness.
Section
21.20.270
Reports by filer of statement—Annual financial statements.
Section
21.20.275
Pending registration—Notice of termination—Application for continuation.
Section
21.20.280
Stop orders—Grounds.
Section
21.20.290
Stop order prohibited if facts known on effective date of statement.
Section
21.20.300
Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.
Section
21.20.310
Securities exempt from registration.
Section
21.20.320
Exempt transactions.
Section
21.20.325
Denial, revocation, condition, of exemptions—Authority—Procedure.
Section
21.20.327
Required filings—Consent to service—Failure to comply—Rules—Fees.
Section
21.20.330
Consent to service of process—Service, how made.
Section
21.20.340
Fees—Disposition.
Section
21.20.350
False or misleading statements in filed documents.
Section
21.20.360
Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations.
Section
21.20.370
Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information.
Section
21.20.377
Subpoena authority—Application—Contents—Notice—Fees.
Section
21.20.380
Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
Section
21.20.390
Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting.
Section
21.20.395
Administrative action—Hearing—Judicial review—Judgment.
Section
21.20.400
Penalty for violation of chapter—Limitation of actions.
Section
21.20.410
Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.
Section
21.20.420
Criminal punishment, chapter not exclusive.
Section
21.20.430
Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter.
Section
21.20.435
Assurance of discontinuance of violations—Acceptance—Filing.
Section
21.20.440
Judicial review of order—Modification of order by director on additional evidence.
Section
21.20.450
Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.
Section
21.20.460
Administrator of securities—Appointment, qualifications, term, etc.
Section
21.20.470
Compensation, travel expenses of administrator and employees.
Section
21.20.480
Unlawful use or disclosure of filed information.
Section
21.20.490
No liability under chapter for act in good faith.
Section
21.20.500
Administrative hearings public—Exception.
Section
21.20.510
Document filed when received—Register—Inspection of register, information, etc.
Section
21.20.520
Copies of entries, documents to be furnished—Copies as prima facie evidence.
Section
21.20.530
Interpretative opinions by director.
Section
21.20.540
Exemptions, exceptions, and preemptions—Burden of proof.
Section
21.20.700
Investigations and examinations—Additional authority—Scope.
Section
21.20.702
Suitability of recommendation—Reasonable grounds required.
Section
21.20.810
Application of chapter not limited.
Section
21.20.855
Examination reports and information—Exempt from public disclosure—Use in civil actions.
Section
21.20.860
Construction—Chapter applicable to state registered domestic partnerships—2009 c 521.
Section
21.20.880
Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
Section
21.20.900
Construction to secure uniformity.
Section
21.20.910
Saving—Civil, criminal proceedings.
Section
21.20.915
Saving—Prior effective registrations.
Section
21.20.920
Application of prior law.
Section
21.20.925
Judicial review of prior administrative orders.
Section
21.20.930
Solicitation permits under insurance laws not limited.
Section
21.20.935
Repealer.
Section
21.20.940
Short title.