RCW 21.20.380
Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
(1) For the purpose of any investigation or proceeding under this chapter, the director or any officer designated by the director may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the director deems relevant or material to the inquiry.
(2) If the activities constituting an alleged violation for which the information is sought would be a violation of this chapter had the activities occurred in this state, the director may issue and apply to enforce subpoenas in this state at the request of a securities agency or administrator of another state.
(3) A subpoena issued to a financial institution under this section may, if the director finds it necessary or appropriate in the public interest or for the protection of investors, include a directive that the financial institution subpoenaed shall not disclose to third parties that are not affiliated with the financial institution, other than to the institution's legal counsel, the existence or content of the subpoena.
(4) In case of disobedience on the part of any person to comply with any subpoena lawfully issued by the director, the refusal of any witness to testify to any matters regarding which the witness may be lawfully interrogated, or the failure to comply with a nondisclosure directive under subsection (3) of this section, a court of competent jurisdiction of any county or the judge thereof, on application of the director, and after satisfactory evidence of willful disobedience, may compel obedience by proceedings for contempt, as in the case of disobedience of the requirements of a subpoena issued from such a court on a refusal to testify therein.
[ 2002 c 65 § 7; 1995 c 46 § 6; 1994 c 256 § 22; 1979 ex.s. c 68 § 26; 1975 1st ex.s. c 84 § 22; 1974 ex.s. c 77 § 9; 1959 c 282 § 38.]
NOTES:
Findings—Construction—1994 c 256: See RCW 43.320.007.
Effective date—1974 ex.s. c 77: See note following RCW 21.20.040.
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.