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RCW Dispositions -
Chapter 21.20 - Securities Act of Washington.
21.20.005 - Definitions. - RCW 21.20.005 Definitions. The definitions set forth in this section...
21.20.010 - Unlawful offers, sales, purchases. - RCW 21.20.010 Unlawful offers, sales, purchases. It is unlawful for...
21.20.020 - Unlawful acts of person advising another. - RCW 21.20.020 Unlawful acts of person advising another. (1) It...
21.20.030 - Unlawful acts of investment adviser. - RCW 21.20.030 Unlawful acts of investment adviser. It is unlawful...
21.20.035 - Unlawful purchases or sales for customer's account. - RCW 21.20.035 Unlawful purchases or sales for customer's account. It...
21.20.037 - Variable contracts—Registration required—Rules. - RCW 21.20.037 Variable contracts—Registration required—Rules. As required by chapter 48.18A...
21.20.040 - Registration and notification required—Exemptions. - RCW 21.20.040 Registration and notification required—Exemptions. (1) It is unlawful...
21.20.050 - Application for registration—Filing of documents—Consent to service of process—Fee. - RCW 21.20.050 Application for registration—Filing of documents—Consent to service of...
21.20.060 - Contents of application for registration—Capital requirements. - RCW 21.20.060 Contents of application for registration—Capital requirements. The application...
21.20.070 - When registration effective—Requirements determined by rule. - RCW 21.20.070 When registration effective—Requirements determined by rule. If the...
21.20.080 - Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period. - RCW 21.20.080 Duration of registration—Association with issuer, broker-dealer, federal covered...
21.20.090 - Renewal of registration—Financial reports—Application for a successor. - RCW 21.20.090 Renewal of registration—Financial reports—Application for a successor. Registration...
21.20.100 - Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination. - RCW 21.20.100 Accounts, correspondence, memoranda, papers, books, and other records—Release...
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. - RCW 21.20.110 Director may deny, suspend, revoke, restrict, condition, or...
21.20.120 - Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions. - RCW 21.20.120 Denial, suspension, revocation of registration—Order—Request for, notice of...
21.20.130 - Cancellation of registration or application—Grounds. - RCW 21.20.130 Cancellation of registration or application—Grounds. If the director...
21.20.135 - License as salesperson or broker-dealer prerequisite to suit for commission. - RCW 21.20.135 License as salesperson or broker-dealer prerequisite to suit...
21.20.140 - Unlawful to offer or sell unregistered securities—Exceptions. - RCW 21.20.140 Unlawful to offer or sell unregistered securities—Exceptions. It...
21.20.180 - Registration by coordination—Requirements—Statement, contents. - RCW 21.20.180 Registration by coordination—Requirements—Statement, contents. Any security for which...
21.20.190 - Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification. - RCW 21.20.190 Time of taking effect of registration statement by...
21.20.200 - Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions. - RCW 21.20.200 Failure to notify of price amendment, proof of...
21.20.210 - Registration by qualification—Statements—Requirements—Audits. - RCW 21.20.210 Registration by qualification—Statements—Requirements—Audits. Any security may be registered...
21.20.220 - Information not required when nonissuer distribution. - RCW 21.20.220 Information not required when nonissuer distribution. In the...
21.20.230 - Time of taking effect of registration statement by qualification—Conditions. - RCW 21.20.230 Time of taking effect of registration statement by...
21.20.240 - Registration statements—Generally. - RCW 21.20.240 Registration statements—Generally. A registration statement may be filed...
21.20.250 - Registration by qualification or coordination—Escrow—Impounding proceeds. - RCW 21.20.250 Registration by qualification or coordination—Escrow—Impounding proceeds. The director...
21.20.260 - Registration by coordination or qualification—Offer and sale—Duration of effectiveness. - RCW 21.20.260 Registration by coordination or qualification—Offer and sale—Duration of...
21.20.270 - Reports by filer of statement—Annual financial statements. - RCW 21.20.270 Reports by filer of statement—Annual financial statements. (1)...
21.20.275 - Pending registration—Notice of termination—Application for continuation. - RCW 21.20.275 Pending registration—Notice of termination—Application for continuation. The director...
21.20.280 - Stop orders—Grounds. - RCW 21.20.280 Stop orders—Grounds. The director may issue a stop...
21.20.290 - Stop order prohibited if facts known on effective date of statement. - RCW 21.20.290 Stop order prohibited if facts known on effective...
21.20.300 - Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc. - RCW 21.20.300 Notification of entry of stop order—Hearing—Findings, conclusions, modification,...
21.20.310 - Securities exempt from registration. - RCW 21.20.310 Securities exempt from registration. RCW 21.20.140 through 21.20.300,...
21.20.320 - Exempt transactions. - RCW 21.20.320 Exempt transactions. The following transactions are exempt from...
21.20.325 - Denial, revocation, condition, of exemptions—Authority—Procedure. - RCW 21.20.325 Denial, revocation, condition, of exemptions—Authority—Procedure. The director or...
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...
21.20.330 - Consent to service of process—Service, how made. - RCW 21.20.330 Consent to service of process—Service, how made. Every...
21.20.340 - Fees—Disposition. - RCW 21.20.340 Fees—Disposition. Except as provided in subsection (15) of...
21.20.350 - False or misleading statements in filed documents. - RCW 21.20.350 False or misleading statements in filed documents. It...
21.20.360 - Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations. - RCW 21.20.360 Filing, registration, statement, exemption not conclusive as to...
21.20.370 - Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information. - RCW 21.20.370 Investigations—Statement of facts relating to investigation may be...
21.20.377 - Subpoena authority—Application—Contents—Notice—Fees. - RCW 21.20.377 Subpoena authority—Application—Contents—Notice—Fees. (1) The director or authorized assistants...
21.20.380 - Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment. - RCW 21.20.380 Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment. (1) For the purpose...
21.20.390 - Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting. - RCW 21.20.390 Injunction, cease and desist order, restraining order, mandamus—Appointment...
21.20.395 - Administrative action—Hearing—Judicial review—Judgment. - RCW 21.20.395 Administrative action—Hearing—Judicial review—Judgment. (1) A person who, in...
21.20.400 - Penalty for violation of chapter—Limitation of actions. - RCW 21.20.400 Penalty for violation of chapter—Limitation of actions. (1)...
21.20.410 - Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director. - RCW 21.20.410 Attorney general, prosecuting attorney may institute criminal proceeding—Referral...
21.20.420 - Criminal punishment, chapter not exclusive. - RCW 21.20.420 Criminal punishment, chapter not exclusive. Nothing in this...
21.20.430 - Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter. - RCW 21.20.430 Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter....
21.20.435 - Assurance of discontinuance of violations—Acceptance—Filing. - RCW 21.20.435 Assurance of discontinuance of violations—Acceptance—Filing. In the enforcement...
21.20.440 - Judicial review of order—Modification of order by director on additional evidence. - RCW 21.20.440 Judicial review of order—Modification of order by director...
21.20.450 - Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities. - RCW 21.20.450 Administration of chapter—Rules and forms, publication—Cooperation with other...
21.20.460 - Administrator of securities—Appointment, qualifications, term, etc. - RCW 21.20.460 Administrator of securities—Appointment, qualifications, term, etc. The director...
21.20.470 - Compensation, travel expenses of administrator and employees. - RCW 21.20.470 Compensation, travel expenses of administrator and employees. The...
21.20.480 - Unlawful use or disclosure of filed information. - RCW 21.20.480 Unlawful use or disclosure of filed information. It...
21.20.490 - No liability under chapter for act in good faith. - RCW 21.20.490 No liability under chapter for act in good...
21.20.500 - Administrative hearings public—Exception. - RCW 21.20.500 Administrative hearings public—Exception. Every hearing in an administrative...
21.20.510 - Document filed when received—Register—Inspection of register, information, etc. - RCW 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. - RCW 21.20.520 Copies of entries, documents to be furnished—Copies as...
21.20.530 - Interpretative opinions by director. - RCW 21.20.530 Interpretative opinions by director. The director in his...
21.20.540 - Exemptions, exceptions, and preemptions—Burden of proof. - RCW 21.20.540 Exemptions, exceptions, and preemptions—Burden of proof. In any...
21.20.700 - Investigations and examinations—Additional authority—Scope. - RCW 21.20.700 Investigations and examinations—Additional authority—Scope. (1) In addition to...
21.20.702 - Suitability of recommendation—Reasonable grounds required. - RCW 21.20.702 Suitability of recommendation—Reasonable grounds required. (1) In recommending...
21.20.810 - Application of chapter not limited. - RCW 21.20.810 Application of chapter not limited. Nothing in RCW...
21.20.855 - Examination reports and information—Exempt from public disclosure—Use in civil actions. - RCW 21.20.855 Examination reports and information—Exempt from public disclosure—Use in...
21.20.860 - Construction—Chapter applicable to state registered domestic partnerships—2009 c 521. - RCW 21.20.860 Construction—Chapter applicable to state registered domestic partnerships—2009 c...
21.20.880 - Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules. - RCW 21.20.880 Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules. (1) Any offer...
21.20.900 - Construction to secure uniformity. - RCW 21.20.900 Construction to secure uniformity. This chapter shall be...
21.20.910 - Saving—Civil, criminal proceedings. - RCW 21.20.910 Saving—Civil, criminal proceedings. Prior law exclusively governs all...
21.20.915 - Saving—Prior effective registrations. - RCW 21.20.915 Saving—Prior effective registrations. All effective registrations under prior...
21.20.920 - Application of prior law. - RCW 21.20.920 Application of prior law. Prior law applies in...
21.20.925 - Judicial review of prior administrative orders. - RCW 21.20.925 Judicial review of prior administrative orders. Judicial review...
21.20.930 - Solicitation permits under insurance laws not limited. - RCW 21.20.930 Solicitation permits under insurance laws not limited. Nothing...
21.20.935 - Repealer. - RCW 21.20.935 Repealer. The following acts and parts of acts...
21.20.940 - Short title. - RCW 21.20.940 Short title. This chapter shall be known as...
Chapter 21.30 - Commodity Transactions.
21.30.005 - Intent. - RCW 21.30.005 Intent. The legislature intends that this chapter, and...
21.30.010 - Definitions. - RCW 21.30.010 Definitions. Unless the context clearly requires otherwise, the...
21.30.020 - Transactions involving commodity contract or option—Prohibition—Exceptions. - RCW 21.30.020 Transactions involving commodity contract or option—Prohibition—Exceptions. Except as...
21.30.030 - Transactions conducted by certain persons exempt from prohibition under RCW 21.30.020. - RCW 21.30.030 Transactions conducted by certain persons exempt from prohibition...
21.30.040 - Transactions and contracts exempt from prohibition under RCW 21.30.020—Rules. - RCW 21.30.040 Transactions and contracts exempt from prohibition under RCW...
21.30.050 - Commodity merchants—Place for trading commodity contract or option—Requirements. - RCW 21.30.050 Commodity merchants—Place for trading commodity contract or option—Requirements....
21.30.060 - Prohibited practices. - RCW 21.30.060 Prohibited practices. No person may directly or indirectly,...
21.30.070 - Responsibility for acts or omissions—Liability—Burden of proof. - RCW 21.30.070 Responsibility for acts or omissions—Liability—Burden of proof. (1)...
21.30.080 - Offers to sell or buy in this state—Application of RCW 21.30.020, 21.30.050, and 21.30.060. - RCW 21.30.080 Offers to sell or buy in this state—Application...
21.30.090 - When publications or electronic communications not deemed offers to sell or buy in this state. - RCW 21.30.090 When publications or electronic communications not deemed offers...
21.30.100 - Investigations—Statements—Publication of information. - RCW 21.30.100 Investigations—Statements—Publication of information. The director in the director's...
21.30.107 - Subpoena authority—Application—Contents—Notice—Fees. - RCW 21.30.107 Subpoena authority—Application—Contents—Notice—Fees. (1) The director or authorized assistants...
21.30.110 - Investigations—Evidence—Subpoenas—Court orders of compliance. - RCW 21.30.110 Investigations—Evidence—Subpoenas—Court orders of compliance. (1) For purposes of...
21.30.120 - Violations—Director's authority—Court actions—Penalties. - RCW 21.30.120 Violations—Director's authority—Court actions—Penalties. (1) If the director believes,...
21.30.130 - Violations—Court-ordered remedies—Penalties—Bond by director not required. - RCW 21.30.130 Violations—Court-ordered remedies—Penalties—Bond by director not required. (1)(a) Upon...
21.30.140 - Willful violations—Penalty—Limitation on actions. - RCW 21.30.140 Willful violations—Penalty—Limitation on actions. A person who willfully...
21.30.150 - No liability under chapter for act in good faith. - RCW 21.30.150 No liability under chapter for act in good...
21.30.160 - Unlawful use or disclosure of information. - RCW 21.30.160 Unlawful use or disclosure of information. Neither the...
21.30.170 - Information—Availability to public—Exceptions. - RCW 21.30.170 Information—Availability to public—Exceptions. (1) All information collected, assembled,...
21.30.180 - Cooperation with other agencies or organizations. - RCW 21.30.180 Cooperation with other agencies or organizations. (1) To...
21.30.190 - Consent for service of process—Service, how made. - RCW 21.30.190 Consent for service of process—Service, how made. (1)...
21.30.200 - Administrative proceedings—Summary order—Notice—Hearing—Final order. - RCW 21.30.200 Administrative proceedings—Summary order—Notice—Hearing—Final order. (1) The director shall...
21.30.210 - Application of chapter 34.05 RCW, the administrative procedure act. - RCW 21.30.210 Application of chapter 34.05 RCW, the administrative procedure...
21.30.220 - Pleading exemptions or exceptions—Burden of proof. - RCW 21.30.220 Pleading exemptions or exceptions—Burden of proof. It shall...
21.30.230 - Application for licensing. - RCW 21.30.230 Application for licensing. An applicant for licensing as...
21.30.240 - Fees. - RCW 21.30.240 Fees. (1) An applicant for licensing shall pay...
21.30.250 - Examinations—Waiver. - RCW 21.30.250 Examinations—Waiver. (1) The administrator may, by rule or...
21.30.260 - Expiration of licenses—Authority under commodity sales representative license—Notification of changes. - RCW 21.30.260 Expiration of licenses—Authority under commodity sales representative license—Notification...
21.30.270 - Multiple licenses, when permitted. - RCW 21.30.270 Multiple licenses, when permitted. No person may at...
21.30.280 - Classification of licenses—Limitations and conditions of licenses. - RCW 21.30.280 Classification of licenses—Limitations and conditions of licenses. If...
21.30.290 - Annual report and fee. - RCW 21.30.290 Annual report and fee. For so long as...
21.30.300 - Minimum net capital and fidelity bond requirements. - RCW 21.30.300 Minimum net capital and fidelity bond requirements. (1)(a)...
21.30.310 - Financial and other reports. - RCW 21.30.310 Financial and other reports. A licensed commodity broker-dealer...
21.30.320 - Records. - RCW 21.30.320 Records. (1) A licensed commodity broker-dealer or commodity...
21.30.330 - Correcting amendments of information in application or financial and other reports—Exception. - RCW 21.30.330 Correcting amendments of information in application or financial...
21.30.340 - Examination of records—Copies—Fees. - RCW 21.30.340 Examination of records—Copies—Fees. (1) The administrator, without prior...
21.30.350 - Denial, suspension, revocation, or limitation of license—Grounds. - RCW 21.30.350 Denial, suspension, revocation, or limitation of license—Grounds. (1)...
21.30.360 - Violations—Prosecuting attorney may bring criminal proceedings. - RCW 21.30.360 Violations—Prosecuting attorney may bring criminal proceedings. The director...
21.30.370 - Penalties in chapter nonexclusive. - RCW 21.30.370 Penalties in chapter nonexclusive. Nothing in this chapter...
21.30.380 - Administration of chapter under director of financial institutions. - RCW 21.30.380 Administration of chapter under director of financial institutions....
21.30.390 - Administrator—Appointment—Delegation of duties—Term. - RCW 21.30.390 Administrator—Appointment—Delegation of duties—Term. The director shall appoint a...
21.30.400 - Director's powers and duties—Rules, forms, and orders—Fees. - RCW 21.30.400 Director's powers and duties—Rules, forms, and orders—Fees. In...
21.30.800 - Securities laws not affected. - RCW 21.30.800 Securities laws not affected. Nothing in this chapter...
21.30.810 - Construction and purpose. - RCW 21.30.810 Construction and purpose. This chapter may be construed...
21.30.901 - Effective date—1986 c 14. - RCW 21.30.901 Effective date—1986 c 14. This act shall take...
Chapter 21.35 - Uniform Transfer on Death Security Registration Act.
21.35.005 - Definitions. - RCW 21.35.005 Definitions. Unless the context clearly requires otherwise, the...
21.35.010 - Security registered in beneficiary form—Ownership. - RCW 21.35.010 Security registered in beneficiary form—Ownership. Only individuals whose...
21.35.015 - Registering a security in beneficiary form—Authorization. - RCW 21.35.015 Registering a security in beneficiary form—Authorization. A registering...
21.35.020 - Registering a security in beneficiary form—Designation of beneficiary. - RCW 21.35.020 Registering a security in beneficiary form—Designation of beneficiary....
21.35.025 - Registering a security in beneficiary form—Words of designation. - RCW 21.35.025 Registering a security in beneficiary form—Words of designation....
21.35.030 - Designation of a TOD or POD beneficiary—Effect on ownership—Cancellation or change. - RCW 21.35.030 Designation of a TOD or POD beneficiary—Effect on...
21.35.035 - Death of owner or owners—Ownership passes to beneficiaries. - RCW 21.35.035 Death of owner or owners—Ownership passes to beneficiaries....
21.35.040 - Registering entity—Protection. - RCW 21.35.040 Registering entity—Protection. (1) A registering entity is not...
21.35.045 - Transfer on death—Contract—Rights of creditors. - RCW 21.35.045 Transfer on death—Contract—Rights of creditors. (1) A transfer...
21.35.050 - Registering entity—Terms and conditions—Forms authorized. - RCW 21.35.050 Registering entity—Terms and conditions—Forms authorized. (1) A registering...
21.35.900 - Short title—Statutory construction. - RCW 21.35.900 Short title—Statutory construction. (1) This chapter shall be...
21.35.901 - Application. - RCW 21.35.901 Application. This chapter applies to registrations of securities...
21.35.902 - Construction—Chapter applicable to state registered domestic partnerships—2009 c 521. - RCW 21.35.902 Construction—Chapter applicable to state registered domestic partnerships—2009 c...