Securities Statutes and Rules

Statutes

RCW 19.100 Franchise Investment Protection Act
RCW 19.110 Business Opportunity Fraud Act
RCW 21.20 Securities Act of Washington
RCW 21.30 Commodity Transactions Act

Rules

Securities
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 for federal covered securities
WAC 460-23B Salespersons for issuers
WAC 460-25A Use of senior designations
WAC 460-28A Advertisements
WAC 460-32A Real estate related securities programs
WAC 460-33A Regulations concerning securities involving mortgages, trust deeds or property sales contracts
WAC 460-42A Exempt securities
WAC 460-44A Exempt transactions
WAC 460-52A Nonprofit organizations
WAC 460-60A Financial statements and reports -- Contents and filing requirements
WAC 460-64A Capital requirements -- Definitions
Broker-Dealers
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-dealers
Investment Advisers
WAC 460-24A Investment advisers
Franchises
WAC 460-80 Franchise registration
WAC 460-82 Franchise broker
Crowdfunding
WAC 460-99C Crowdfunding

Agency Rules

WAC 208-04 General Provisions
WAC 208-08 Adjudicative Procedures
WAC 208-12 Public Records

Interpretive and Policy Statements

Interpretive and policy statements from the Division of Securities.