RCW 21.30.320
Records.
(1) A licensed commodity broker-dealer or commodity sales representative shall make and maintain records that the administrator determines, by rule, are necessary or appropriate.
(2) Required records may be maintained in computer or microform format or any other form of data storage provided that the records are readily accessible to the administrator.
(3) Required records must be preserved for five years unless the administrator, by rule, specifies either a longer or shorter period for a particular type or class of records.
[ 1986 c 14 § 33.]
Structure Revised Code of Washington
Title 21 - Securities and Investments
Chapter 21.30 - Commodity Transactions.
21.30.020 - Transactions involving commodity contract or option—Prohibition—Exceptions.
21.30.030 - Transactions conducted by certain persons exempt from prohibition under RCW 21.30.020.
21.30.040 - Transactions and contracts exempt from prohibition under RCW 21.30.020—Rules.
21.30.050 - Commodity merchants—Place for trading commodity contract or option—Requirements.
21.30.060 - Prohibited practices.
21.30.070 - Responsibility for acts or omissions—Liability—Burden of proof.
21.30.100 - Investigations—Statements—Publication of information.
21.30.107 - Subpoena authority—Application—Contents—Notice—Fees.
21.30.110 - Investigations—Evidence—Subpoenas—Court orders of compliance.
21.30.120 - Violations—Director's authority—Court actions—Penalties.
21.30.130 - Violations—Court-ordered remedies—Penalties—Bond by director not required.
21.30.140 - Willful violations—Penalty—Limitation on actions.
21.30.150 - No liability under chapter for act in good faith.
21.30.160 - Unlawful use or disclosure of information.
21.30.170 - Information—Availability to public—Exceptions.
21.30.180 - Cooperation with other agencies or organizations.
21.30.190 - Consent for service of process—Service, how made.
21.30.200 - Administrative proceedings—Summary order—Notice—Hearing—Final order.
21.30.210 - Application of chapter 34.05 RCW, the administrative procedure act.
21.30.220 - Pleading exemptions or exceptions—Burden of proof.
21.30.230 - Application for licensing.
21.30.250 - Examinations—Waiver.
21.30.270 - Multiple licenses, when permitted.
21.30.280 - Classification of licenses—Limitations and conditions of licenses.
21.30.290 - Annual report and fee.
21.30.300 - Minimum net capital and fidelity bond requirements.
21.30.310 - Financial and other reports.
21.30.340 - Examination of records—Copies—Fees.
21.30.350 - Denial, suspension, revocation, or limitation of license—Grounds.
21.30.360 - Violations—Prosecuting attorney may bring criminal proceedings.
21.30.370 - Penalties in chapter nonexclusive.
21.30.380 - Administration of chapter under director of financial institutions.
21.30.390 - Administrator—Appointment—Delegation of duties—Term.
21.30.400 - Director's powers and duties—Rules, forms, and orders—Fees.
21.30.800 - Securities laws not affected.