Securities Act Interpretive and Policy Statements

Securities Act Interpretive Statements

Number Date Subject
IS-22 04/01/2002 Investment Adviser Fee Sharing
IS-21 01/25/1999 Performance Standards in Advertisements
IS-20 01/11/1991 RCW 21.20.320(10) - Preorganization Certificates
IS-16 05/31/1996 RCW 21.20.320(3), WAC 460-21B-060(22), WAC 460-22B-090(18) - Unsolicited Offers
IS-14 01/01/1991 RCW 21.20.320(11) - Offer To Existing Security Holders Of The Issuer - Applicability To Mutual Funds
IS-13 01/01/1991 RCW 21.20.320(11) - Offers Or Sales To Existing Security Holders - Applicability In Parent/Subsidiary Situations
IS-12 01/01/1991 RCW 21.20.320(11) - Offers To Holders Of Transferable Warrants
IS-11 01/01/1991 RCW 21.20.320(8) - Exemptions - "Institutional Buyer"
IS-10 01/01/1991 IRA's and Keoghs as "Pension Trusts"
IS-09 01/01/1991 Nonpublic Offerings & Isolated Transactions - General Partnerships As Purchasers
IS-07 01/01/1991 RCW 21.20.310(11) - Nonprofit Organization Exemption Disclosure Requirements
IS-06 01/01/1996 RCW 21.20.310(10) - Employee Benefit Plans - Permitted Beneficiaries - Acceleration Of Effectivess - Late Filing - Subsequent Distribution of Securities
IS-05 01/01/1991 RCW 21.20.310 - Exempt Securities That Are Guaranteed
IS-04 01/01/1991 RCW 21.20.310(3), .310(4) - Applicability to Mutual and Stock Savings Banks
IS-03 01/01/1991 RCW 21.20.310(3) - Securities Issued by Domestic Branches of Foreign Banks
IS-01 05/31/1996 RCW 21.20.330 - Consent To Service Of Process

Securities Act Policy Statements

Number Date Subject
PS-22 01/07/2015 Oversales by Investment Companies
PS-21 12/18/2014 Advisory Fee Billing Information Required To Be Disseminated To Clients Under WAC 460-24A-220
PS-20 09/08/1997 Internet Advertising By Broker-Dealers, Investment Advisers, And Their Representatives
PS-16 05/23/1996 Securities Offering On The Internet
PS-10 05/31/1996 WAC 460-16A-205(p) - Promotional Shares Rule - Three Year Limitation
PS-08 01/01/1991 Government Bond Promotions By Retailers RCW 21.20.005(10) - "Offer" and "Sale" RCW 21.20.005(3) - "Broker-Dealer"
PS-06 05/17/1991 Projections - Policy On Use In Registrations And Other Filings
PS-05 01/01/1991 Blind Pool/Blank Check Offerings - Duty To Disclose Material Facts - RCW 21.20.010 - Unlawful Offers, Sales
PS-04 01/01/1991 Repealed
PS-03 01/01/1991 RCW 21.20.240 - Use Of Preliminary Or Red Herring Prospectuses In Qualification Filings
PS-01 05/31/1996 Determination Of The Filing Date RCW 21.20.510 - Document Filed When Received