Investment Adviser Rules - Rulemaking

Industry: 
Investment Advisers
Rulemaking Status: 
Adopted

The Securities Division has amended the investment adviser rules in Chapter 460-24A WAC. The amendments update various provisions of the investment adviser rules, including the rules regarding financial reporting requirements, custody, books and records, and unethical practices. There are new rules addressing proxy voting, advisory contracts, and compliance policies and procedures. In addition, there are new exemptions from registration for 3(c)(7) fund advisers and venture capital fund advisers.

If you have any questions concerning this rulemaking, please contact Jill Vallely at (360) 902-8801 or jill.vallely@dfi.wa.gov.