Revised Code of Washington
Chapter 21.20 - Securities Act of Washington.
21.20.327 - Required filings—Consent to service—Failure to comply—Rules—Fees.

RCW 21.20.327
Required filings—Consent to service—Failure to comply—Rules—Fees.

(1) The director, by rule or otherwise, may require the filing of any or all of the following documents and the payment of the following fees with respect to a federal covered security under section 18(b)(2) of the Securities Act of 1933:
(a) Prior to the initial offer of such a federal covered security in this state, all documents that are part of the current federal registration statement filed with the U.S. securities and exchange commission under the Securities Act of 1933, together with a consent to service of process signed by the issuer and the fee prescribed by RCW 21.20.340;
(b) After the initial offer of such a federal covered security in this state, all documents that are part of an amendment to a current federal registration statement filed with the U.S. securities and exchange commission under the Securities Act of 1933 and all fees prescribed by RCW 21.20.340; and
(c) An annual or periodic report of the value of such federal covered securities offered in this state, together with the fee prescribed by RCW 21.20.340.
(2) With respect to any security that is a federal covered security under section 18(b)(4)(D) of the Securities Act of 1933, the director, by rule or otherwise, may require the issuer to file a notice on SEC Form D, together with a consent to service of process signed by the issuer and the fee prescribed pursuant to RCW 21.20.340, no later than fifteen days after the first sale of such a federal covered security in this state.
(3) The director, by rule or otherwise, may require the filing of any document filed with the U.S. securities and exchange commission under the Securities Act of 1933, with respect to a federal covered security under section 18(b)(3) or (4) of the Securities Act of 1933 and/or the payment of the fee prescribed pursuant to RCW 21.20.340.
(4) The director may issue a stop order suspending the offer and sale of a federal covered security, except a federal covered security under section 18(b)(1) of the Securities Act of 1933, if the director finds that there is a failure to comply with any requirement established under this section.
(5) The director, by rule or otherwise, may waive any or all of the provisions of this section.

[ 1998 c 15 § 12.]

Structure Revised Code of Washington

Revised Code of Washington

Title 21 - Securities and Investments

Chapter 21.20 - Securities Act of Washington.

21.20.005 - Definitions.

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.

21.20.080 - 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.

21.20.140 - Unlawful to offer or sell unregistered securities—Exceptions.

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.

21.20.310 - 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.

21.20.340 - Fees—Disposition.

21.20.350 - False or misleading statements in filed documents.

21.20.360 - Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations.

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.

21.20.430 - 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.

21.20.450 - 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.

21.20.540 - 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.

21.20.935 - Repealer.

21.20.940 - Short title.