Division of Securities

The primary mission of the Division of Securities, which was established in the early 1930s, is to protect Washington State residents from dishonest or fraudulent practices by people selling investments. More...

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What's New

• Selecting Brokerage and Investment Advisory Services That Meet Your Needs
  DFI has published an investor bulletin on how investors can improve their chances of selecting brokerage and investment advisory services that meet their needs. View bulletin (PDF)*.
  
  
• Investment Scams Often Lurk Behind Ominous Economic Forecasts
  The Washington State Department of Financial Institutions (DFI) Director Scott Jarvis joins the North American Securities Administrators Association (NASAA) in reminding investors not to allow recent negative economic news and stock market volatility to lead them into high-risk speculative investments. Learn more.
  
  
• Forex: Risky Business?
  Recently, there has been a rise in Forex transactions. Forex trading can involve a high degree of risk and may be more suitable for market professionals rather than the average retail investor. Learn more.
  
  
• Possible Amendments to Private and Limited Offering Rules
  The Securities Division is soliciting comments on the possible amendment of its rules pertaining to several exemptions from registration for private and limited offerings in light of the possible amendment of related federal rules. Learn more.
  
  
• Federal Savings, LLC Update
  The most recent information on Federal Savings, LLC. Learn more.
  
  
• What You Should Know Before Investing in Mortgage Paper Securities
  Answers to frequently asked questions about investing in mortgage paper securities. Learn more.
  
  
• Small Business Offering Options Decision Tree
  This interactive decision tree is intended to help you evaluate whether your business may raise money by selling securities in a strictly private offering and if so, explore some private offering exemptions that may apply, or if it will be necessary for your company to register the offering. Begin the interactive decision tree.
  
  Note: If you have a popup blocker installed, you may need to turn it off to open the decision tree.
  
  
• Tenancy In Common
  Tenancy in Common (PDF) - Agents, broker-dealers, and others  offering or selling tenancy in common interests are reminded to comply with the Securities Act of Washington.

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Licensee Information

• Business Opportunities
• Commodity Broker Dealers
• Franchise Registration & Exemption
• Investment Advisers
• FINRA Examinations
• Registration & Licensing
• Securities Broker Dealers
• Small Business Assistance
• Securities Division Interested Persons List

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Securities Orders, Licensee Database, Filings

• View Securities Orders by Year: Orders are listed by year with the most recent at the top.



• Search Securities Orders: Use the DFI enforcement actions search engine to find a specific order.
  
  
• Search the Licensee Database: Find information about filings made with the Division.
  
  
• Search the National Association of Securities Dealers: Find information about your stockbroker (broker/dealer salesperson).
  
  
• Search the SEC Database: Find information about your investment adviser firm.

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Laws and Rules

The Securities Division administers the:

• Securities Act (RCW 21.20);
• Franchise Investment Protection Act (RCW 19.100);
• Business Opportunity Fraud Act (RCW 19.110);
• Commodities Act (RCW 21.30);

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Contact Us

Mailing Address:
Department of Financial Institutions
Securities Division
PO Box 9033
Olympia, WA 98507-9033

Phone Numbers:
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126

Please also see our staff directory.

* This document is a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.

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