News from the Washington State Department of Financial Institutions for Washington investment advisers.

02/02/2024
Information and dates for 2024.
11/20/2023
Renewal season is almost here. Renewal has two steps: (1) payment of annual renewal fees to the Investment Adviser Registration Depository (IARD), which must be received by the IARD no later than <strong>December 14, 2020</strong>; and (2) annual filing requirements, which are due within 90-120 days after the investment adviser’s fiscal year end (FYE).
04/14/2020
Guidance for state-registered investment advisers regarding the impact of CARES Act loans on the net worth required of advisors under our rules.
12/01/2017
Information Regarding Registration of a Successor for an Investment Adviser
02/10/2016
This addresses investment advisers moving to or opening a place of business in the State of Washington.
03/05/2013
The Division of Securities has determined that advertisement of the "Five Star Wealth Manager: Best in Client Satisfaction" award (granted prior to 2012) is prohibited, and advertisement of the "Five Star Wealth Manager" award (granted in 2012 and forward) is restricted. Similar analysis will be applied to like programs and advertising.