Washington State Department of Financial Institutions

DFI Records Exempt from Electronic Submission

The table below lists DFI records exempt from electronic submission under SSB 6354.

Name of Record Division Legal Requirement for materials to be submitted in paper format Not technically or fiscally feasible or practical Comments
Consent To Service Of Process (U-2 & U-2a) Securities X
Business Opportunity Registration Application Securities X Less than a dozen current registrants make these filings
Franchise Exemption Application Securities X
Securities Registration By Coordination Application Securities X
Securities Registration By Qualification Application Securities X
Mortgage Paper Securities Application Securities X Only one current registration makes these filings
Mortgage Broker-Dealer Quarterly Report Securities X Only one current registration makes these filings
Municipal Security Notice Filing Securities X
Form D - Reg D Rules 504, 505 & 506 Securities X NASAA is currently developing national electronic filing system for these filing types. We intend to implement the system once available.
Notice Of Exemption - Rules 504 & 147 Securities X We receive a very limited number of these filings
Notice Of Exemption - Non Profit Securities X We receive a very limited number of these filings
Notice Of Exemption - Co-Op/Mutual Assns Securities X We receive a very limited number of these filings
Cr-Scor-West Application Securities X We receive a very limited number of these filings
Sample Recission Letter Securities X We receive a very limited number of these filings
Coordinated Review - Equity Form Securities X We receive a very limited number of these filings
Small Company Offering Registration Form (U-7) Securities X We receive a very limited number of these filings
Business Opportunity Registration Application Fee ($200) Securities X Less than a dozen current registrants make these filings
Business Opportunity Registration Application Renewal Fee ($125) Securities X Less than a dozen current registrants make these filings
Buisness Opportunity Registration Application Amendemnt Fee ($30) Securities X Less than a dozen current registrants make these filings
Franchise Exemption Application Fee ($100) Securities X
Franchise Exemption Application Renewal Fee ($100) Securities X
Franchise Broker Application Fee ($50) Securities X
Franchise Broker Application Renewal Fee ($25) Securities X
Securities Coordination Application Fee ($100 For The First $100,000 Plus 1/40th Of 1% In Excess Of $100,000) Securities X
Securities Coordination Application Renewal Fee ($100) Securities X
Securities Qualification Application Fee ($100 For The First $100,000 Plus 1/20th Of 1% In Excess Of $100,000) Securities X
Securities Qualification Application Fee ($50) Securities X
Municipal Securities Notice Filing Fee ($100 For The First $100,000 Plus 1/20th Of 1% In Excess Of $100,000) Securities X
Municipal Securities Notice Filing Renewal Fee ($50) Securities X
Securities Form D - Reg D Rules 505 & 506 - Notice Filing Fee ($300) Securities X NASAA is currently developing national electronic filing system for these filing types. We intend to implement the system once available.
Securities Notice Of Exemption - Rules 504 & 147 - Notice Filing Fee ($50) Securities X
Securities Model Accredited Investor Exemption Notice Filing Fee ($300) Securities X
Surety Bond for Consumer Loan, Mortgage Brokers, Escrow Agent, Money Services and Small Loan Endorsement Licenses Consumer Services X
Fingerprint Cards for Owners & Officers for Consumer Loan, Mortgage Brokers and Escrow Agents as well as Escrow Officers Consumer Services X Must have original prints to scan to WSP and FBI
Trust Account Verification for Escrow Agents and Mortgage Brokers Consumer Services X Document requires notarized signature
Consumer Loan Closure Form Consumer Services X Document requires notarized signature
CS AAH Entity Consumer Services X
CS AAH Individual Consumer Services X
CS-Assurance of Compliance Consumer Services X
CS-BAP Notice & Request Consumer Services X
CS-CC PH10 UL [Declaration & Claim of Non-Applicability] Consumer Services X
CS-CL PHI0 UL [Declaration & Claim of Non-Applicability] Consumer Services X
CS-CL PHI9 (Advertising) Consumer Services X
CS-Declaration Pertaining to Response to Directive/Subpoena Consumer Services X
CS-ES PHI UL [Declaration & Claim of Non-Applicability] Consumer Services X
CS-Employment Security Records Request Consumer Services X
CS-MB PH1-10 UL [Declaration & Claim of Non-Applicability] Consumer Services X
CS-MB PH1-10 UL Loan Mod & Short Sale [Declaration & Claim of Non-Applicability] Consumer Services X
CS-MB PH1-5 (appraisal-UL) Consumer Services X
CS-MB PH1-9 (Advertising) Consumer Services X
CS-MS UL Packet [Declaration & Claim of Non-Applicability] Consumer Services X
CS-PO Verification Consumer Services X
Affidavit of No Unlicensed Activity Consumer Services X
Declaration for MB Consumer Services X
Money Transmitter Assessment Form Consumer Services X Original forms must be returned since they contain a Notary Affidavit
Check Casher Seller Assessment Form Consumer Services X Original Forms must be returned since they contain a Notary Affidavit
Money Transmitter Assessment Payment Consumer Services X Form is posted on our website, however payment and original forms are mailed to the department with any supporting documents
Check Casher Seller Assessment Payment Consumer Services X Form is posted on our website, however payment and original forms are mailed to the department with any supporting documents
Examination Fee Payment Consumer Services X An electronic payment system would need to be established by the Department
Examination Travel Recovery Payment Consumer Services X An electronic payment system would need to be established by the Department
Response to Report of Exam Consumer Services X An electronic payment system would need to be established by the Department
DFI