Statutes and Rules
Exemption Tables - Summaries of the exemptions from registration available for securities offerings.
If you would like to be added to any of the division's "interested persons" email lists, please use the Securities Division Interested Persons List form.
Rulemaking Activity - A list of all rules changes recently proposed and/or adopted. You may comment using an online form if the comment period is open.
Note: Beginning July 1, 2006, the Division of Consumer Services administers the Escrow Agent Registration Act, RCW 18.44 instead of the Division of Securities. Escrow related pages, forms, and links have been updated to reflect this change. Please contact the Division of Consumer Services at dcs@dfi.wa.gov or by calling 360-902-8703 with any questions.
Statutes
RCW 21.20
Securities Act of Washington
RCW 19.100 Franchise Investment
Protection Act
RCW 19.110
Business Opportunity Fraud Act
RCW 21.30
Commodity Transactions Act
Rules
WAC 208-04
- General Provisions
WAC 208-08
- Adjudicative
Procedures
WAC 208-12 - Public Records
WAC 460-10A - Definitions
WAC 460-11A -
Multijurisdictional Disclosure System
WAC 460-12A
- Fraudulent and
Other Prohibited Practices
WAC 460-16A - General Rules
WAC 460-17A - Small Company
Offering Registration
WAC 460-18A - Notice Filings
WAC 460-20B - Broker-Dealer
Registration
WAC 460-21B - Broker-Dealer
Practices
WAC 460-21C - Broker-Dealer
Services at Financial Institutions
WAC 460-22B - Salespersons
of Broker-Dealer
WAC 460-23B - Salespersons
of Issuer
WAC 460-24A - Investment
Advisers
WAC 460-28A - Advertisements
WAC 460-32A - Real Estate
Programs
WAC 460-33A - Mortgages,
Trust Deeds or Property Sales Contracts
WAC 460-42A - Exempt
Securities
WAC 460-44A - Exempt
Transactions
WAC 460-52A - Non-Profit
Organizations
WAC 460-60A - Financial
Statements and Reports
WAC 460-64A - Debenture
Companies
WAC 460-80 - Franchise
Registration
WAC 460-82 - Franchise
Broker
Interpretive and Policy Statements
Securities Act Interpretive Statements
Securities Act Policy Statements
Franchise Act Interpretive Statements
Franchise Act Policy Statements
Federal Laws
Securities Statutes and RulesNational Securities Market Improvement Act of 1996
(Scroll down to Pub.L. 104-290 and then click on Text or PDF.)
Gramm-Leach-Bliley Act
Franchise and Business Opportunity Statutes and Rules
Laws of Other States
North American Securities Administrators Association (NASAA): Directory of Securities Laws and Regulations
