The primary mission of the Division of Securities, which was established in the early 1930s, is to protect the investing public and promote confidence in the capital markets. About the Securities Division
News and Updates
Renewal season is almost here. The annual renewal fees for investment advisers and their representatives must be received by the Investment Adviser Registration Depository (IARD) no later than December 18, 2015.
The Securities Division is pleased to announce the availability of its online electronic filing system for franchise broker and franchise exemption applications.
Join the Securities Division to discuss how the recent amendments to the investment adviser rules, WAC 460-24A, impact investment advisers registered in the State of Washington. The amendments changed the financial reporting requirements, custody requirements, and books and records requirements. In addition, learn about common licensing issues and how to avoid typical examination mistakes.
On May 18, 2015, Washington Governor Inslee signed into law Engrossed Substitute Senate Bill 5826 (ESSB 5826). The law creates a Small Business Retirement Marketplace that will educate small employers on the availability of retirement plans and promote, without mandating participation, qualified, low-cost, low-burden retirement savings vehicles. In addition, Section 3(6) of ESSB 5826 requires the Department of Financial Institutions to verify that the retirement plans offered on the Small Business Retirement Marketplace meet the criteria set forth in the law. The Department of Financial Institutions must propose rules to address this requirement.
The Securities Division has adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regulation A.
If you have a complaint against an individual selling an investment or offering advice, file a complaint with the Division.
Before investing, make sure to verify the license of the individual selling the investment and make sure the investment itself is registered to be sold in Washington.
Old Stock Certificates
Links to resources to help you find the value of old stock certificates.
Department of Financial Institutions
PO Box 9033
Olympia, WA 98507-9033
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126