The Securities Division has adopted a new rule at WAC 460 23B-070 regarding the termination of salespersons for issuers. The new rule specifies that if the employment or association of a salesperson for an issuer is terminated, the salesperson and the issuer must notify the Securities Division of the termination by filing Form U5 with the Division.
- Text of Adopted Rule
- Memo to Interested Persons Regarding CR-103
- Text of Proposed Rules
- Memo to Interested Persons Regarding CR-102
- Memo to Interested Persons Regarding CR-101
If you have any questions or comments, please contact Jill Vallely at (360) 902-8801 or by email at email@example.com.