Revised Code of Washington
Title 21 - Securities and Investments
Chapter 21.20 - Securities Act of Washington.

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...

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Revised Code of Washington Title 21 - Securities and Investments Chapter 21.20 - Securities Act of Washington.

Revised Code of Washington
Title 21 - Securities and Investments
Chapter 21.20 - Securities Act of Washington.