RCW 21.20.450
Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.
(1) The administration of the provisions of this chapter shall be under the department of financial institutions. The director may from time to time make, amend, and repeal such rules, forms, and orders as are necessary to carry out the provisions of this chapter, including rules defining any term, whether or not such term is used in the Washington securities law. The director may classify securities, persons, and matters within the director's jurisdiction, and prescribe different requirements for different classes. No rule, form, or order may be made unless the director finds that the action is necessary or appropriate in the public interest or for the protection of investors and consistent with the purposes fairly intended by the policy and provisions of this chapter. In prescribing rules and forms the director may cooperate with the securities administrators of the other states and the securities and exchange commission with a view to effectuating the policy of this statute to achieve maximum uniformity in the form and content of registration statements, applications, and reports wherever practicable. All rules and forms of the director shall be published.
(2) To encourage uniform interpretation and administration of this chapter and effective securities regulation and enforcement, the director may cooperate with the securities agencies or administrators of one or more states, Canadian provinces or territories, or another country, the securities and exchange commission, the commodity futures trading commission, the securities investor protection corporation, any self-regulatory organization, any national or international organization of securities officials or agencies, and any governmental law enforcement or regulatory agency.
(3) The cooperation authorized by subsection (2) of this section includes:
(a) Establishing a central depository for licensing or registration under this chapter and for documents or records required or allowed to be maintained under this chapter;
(b) Making a joint license or registration examination or investigation;
(c) Holding a joint administrative hearing;
(d) Filing and prosecuting a joint civil or administrative hearing;
(e) Sharing and exchanging personnel;
(f) Sharing and exchanging information and documents; and
(g) Formulating under chapter 34.05 RCW, rules or proposed rules on matters such as statements of policy, guidelines, and interpretative opinions and releases.
[ 1994 c 256 § 24; 1993 c 472 § 15; 1979 ex.s. c 68 § 33; 1979 c 158 § 86; 1975 1st ex.s. c 84 § 25; 1959 c 282 § 45.]
NOTES:
Findings—Construction—1994 c 256: See RCW 43.320.007.
Effective date—1993 c 472: See RCW 43.320.900.
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.