Washington State Department of Financial Institutions

Statutes and Rules

Exemption Tables - Summaries of the exemptions from registration available for securities offerings.

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 460-25A - Use of Senior Designations
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 Rules
National Securities Market Improvement Act of 1996 (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

* 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.