DFI Public Records

All records maintained by the Washington State Department of Financial Institutions (DFI) are available for inspection unless law specifically exempts them. See: List of Records Exempt from Public Record Requests

Download Public Records Request Form

DFI Public Records Index

Record How to Obtain
Escrow Agents Investigations Submit a public records request using the public records request form above.
Escrow Committee Agendas & Minutes Obtain Online

Meeting minutes and agendas from previous Escrow Committee meetings are available online.
Examination Reports Available for consumer loan companies, escrow agents, mortgage brokers. Submit a public records request using the public records request form above. Examination reports for banks, credit unions, check cashers and sellers, securities broker dealers, investment advisers, money transmitters, currency exchangers, and debenture companies are exempt from public disclosure.
Exemption Filings (Securities) To request Securities exemption filings, submit a public records request using the public records request form above. Including: Reg D, employee benefit plans, model accredited investor exemption, existing security holders, cooperative/mutual association, municipal securities, non-profit organization.
Franchise Act Interpretive and Policy Statements Obtain Online

Obtain online from DFI's website.
Franchise Brokers Investigations To request information about Securities investigations, submit a public records request using the public records request form above.
Franchises Investigations To request information about Securities investigations, submit a public records request using the public records request form above.
Investment Advisers Closed Investigations Submit public records request using the public records request form above.
Mortgage Brokers Interpretive Letters Obtain Online

Obtain online from DFI's website.
Mortgage Brokers Investigations Submit a public records request to using the public records request form above.
Registration and Licensing Obtain Online

Search DFI's licensee database to obtain registration and licensing information for entities licensed by DFI. For investment advisers, securities brokers and dealers, securities salespersons, securities issuers, franchises, franchise brokers, business opportunities, escrow agents and officers, consumer loan companies, check cashers and sellers, payday lenders, mortgage brokers, loan originators, money transmitters, and currency exchangers.
Securities Act Interpretive and Policy Statements Obtain Online

Obtain online on DFI's website.
Securities Advisory Committee Agendas & Minutes To request meeting minutes and agendas from previous Securities Advisory Committee meetings, submit a public records request using the public records request form above. (Note – This Committee was abolished effective July 1, 2009.)
Securities Broker Dealers Investigations To request information about Securities investigations, submit a public records request using the public records request form above.
Securities Salesperson Investigations To request information about Securities investigations, submit a public records request using the public records request form above.

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