RCW 21.20.180
Registration by coordination—Requirements—Statement, contents.
Any security for which a registration statement has been filed under the securities act of 1933 or any securities for which filings have been made pursuant to regulation A pursuant to subsection (b) of Sec. 3 of the securities act in connection with the same offering may be registered by coordination. A registration statement under this section shall contain the following information and be accompanied by the following documents, in addition to payment of the registration fee prescribed in RCW 21.20.340 and, if required under RCW 21.20.330, a consent to service of process meeting the requirements of that section:
(1) One copy of the prospectus, offering circular and/or letters of notification, filed under the securities act of 1933 together with all amendments thereto;
(2) The amount of securities to be offered in this state;
(3) The states in which a registration statement or similar document in connection with the offering has been or is expected to be filed;
(4) Any adverse order, judgment or decree previously entered in connection with the offering by any court or the securities and exchange commission;
(5) If the director, by rule or otherwise, requires a copy of the articles of incorporation and bylaws (or their substantial equivalents) currently in effect, a copy of any agreements with or among underwriters, a copy of any indenture or other instrument governing the issuance of the security to be registered, and a specimen or copy of the security;
(6) If the director requests, any other information, or copies of any other documents, filed under the securities act of 1933;
(7) An undertaking to forward promptly all amendments to the federal registration statement, offering circular and/or letters of notification, other than an amendment which merely delays the effective date; and
(8) If the aggregate sales price of the offering exceeds one million dollars, audited financial statements and other financial information prepared as to form and content under rules adopted by the director.
[ 1994 c 256 § 13; 1979 ex.s. c 68 § 11; 1961 c 37 § 4; 1959 c 282 § 18.]
NOTES:
Findings—Construction—1994 c 256: See RCW 43.320.007.
Structure 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.
21.20.037 - Variable contracts—Registration required—Rules.
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.
21.20.090 - Renewal of registration—Financial reports—Application for a successor.
21.20.130 - Cancellation of registration or application—Grounds.
21.20.135 - License as salesperson or broker-dealer prerequisite to suit for commission.
21.20.140 - Unlawful to offer or sell unregistered securities—Exceptions.
21.20.180 - Registration by coordination—Requirements—Statement, contents.
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.
21.20.310 - Securities exempt from registration.
21.20.320 - Exempt transactions.
21.20.325 - Denial, revocation, condition, of exemptions—Authority—Procedure.
21.20.327 - Required filings—Consent to service—Failure to comply—Rules—Fees.
21.20.330 - Consent to service of process—Service, how made.
21.20.350 - False or misleading statements in filed documents.
21.20.377 - Subpoena authority—Application—Contents—Notice—Fees.
21.20.380 - Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
21.20.395 - Administrative action—Hearing—Judicial review—Judgment.
21.20.400 - Penalty for violation of chapter—Limitation of actions.
21.20.420 - Criminal punishment, chapter not exclusive.
21.20.430 - Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter.
21.20.435 - Assurance of discontinuance of violations—Acceptance—Filing.
21.20.440 - Judicial review of order—Modification of order by director on additional evidence.
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.
21.20.540 - Exemptions, exceptions, and preemptions—Burden of proof.
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.
21.20.880 - Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
21.20.900 - Construction to secure uniformity.
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.