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Division of Securities

The primary mission of the Division of Securities, which was established in the early 1930s, is to protect the investing public and promote confidence in the capital markets. More...

News For Industry

Franchise Rules Amended
The Securities Division recently filed a Rule Making Order amending our franchise registration rules. Learn More.
Mortgage Paper Securities Rulemaking
The Division of Securities is soliciting comments on the possible amendment and addition to its rules set forth in chapter 460-33A, WAC, which provide an optional method of registration for “mortgage paper securities” as defined in WAC 460-33A-015(4). Learn More.
Form D Notice Filing Requirements
Summary of filing requirements applicable to the private and limited offering exemptions adopted under the Securities Act of Washington that are designed to coordinate with federal Regulation D. View Summary of Filing Requirements.
Investment Advisers Are Reminded To Comply With Fiscal Year End Reporting Requirements
The Division of Securities has sent out a reminder to each investment adviser registered in Washington that it must file a Fiscal Year End Report and a balance sheet dated as of the end of its last fiscal year within 90 days of the end of its fiscal year.

Fiscal Year End Reminder (PDF)*
Fiscal Year End Report (PDF)*
Small Business Offering Options Decision Tree
This interactive decision tree is intended to help you evaluate whether your business may raise money by selling securities in a strictly private offering and if so, explore some private offering exemptions that may apply, or if it will be necessary for your company to register the offering. Begin the interactive decision tree.

Note: If you have a popup blocker installed, you may need to turn it off to open the decision tree.
Tenancy In Common
Tenancy in Common (PDF) - Agents, broker-dealers, and others offering or selling tenancy in common interests are reminded to comply with the Securities Act of Washington.

News For Investors

Wells Fargo Auction Rate Securities Update
Auctions for most auction rate securities (ARS) held by brokerage firm customers nationwide failed in February 2008. As a result of this failure, DFI’s Securities Division opened investigations into sales of ARS in the State of Washington by a number of broker-dealers, including the Wells Fargo broker-dealers. DFI’s Securities Division also joined a nationwide task force of state securities regulators to address sales practices relating to ARS and to help investors get access to their frozen funds. Learn More.
DFI Obtains Temporary Restraining Order Against Hoss Mortgage Investors, Inc.
On September 15, 2009, the Washington State Department of Financial Institutions obtained a temporary restraining order against Hoss Mortgage Investors, Inc., Todd Allan Hoss and others, prohibiting them from distributing or otherwise disposing of assets belonging to Hoss Mortgage Investors, Inc. until a receiver can be appointed to take control of and disburse the assets. Learn More.
DFI Cautions Investors: Make Sure Your Decisions Amid The Current Wall Street Crisis Are Informed And Researched
DFI’s Securities Division is urging Washington State investors to make informed decisions about their long-term financial holdings and to seek the advice of a trusted investment adviser or financial planner before making any sudden moves with their money, particularly during the ongoing market volatility and unprecedented turmoil on Wall Street. Learn more.
Selecting Brokerage and Investment Advisory Services That Meet Your Needs
DFI has published an investor bulletin on how investors can improve their chances of selecting brokerage and investment advisory services that meet their needs. View bulletin (PDF)*.
Investment Scams Often Lurk Behind Ominous Economic Forecasts
The Washington State Department of Financial Institutions (DFI) Director Scott Jarvis joins the North American Securities Administrators Association (NASAA) in reminding investors not to allow recent negative economic news and stock market volatility to lead them into high-risk speculative investments. Learn more.
Forex: Risky Business?
Recently, there has been a rise in Forex transactions. Forex trading can involve a high degree of risk and may be more suitable for market professionals rather than the average retail investor. Learn more.
Federal Savings, LLC Update
The most recent information on Federal Savings, LLC. Learn more.
What You Should Know Before Investing in Mortgage Paper Securities
Answers to frequently asked questions about investing in mortgage paper securities. Learn more.

Licensee Information

Securities Orders, Licensee Database, Filings

View Securities Orders by Year: Orders are listed by year with the most recent at the top.

Search Securities Orders: Use the DFI enforcement actions search engine to find a specific order.
Search the Licensee Database: Find information about filings made with the Division.
Search the National Association of Securities Dealers: Find information about your stockbroker (broker/dealer salesperson).
Search the SEC Database: Find information about your investment adviser firm.

Laws and Rules

Laws & Rules

Contact Us

Mailing Address:
Department of Financial Institutions
Securities Division
PO Box 9033
Olympia, WA 98507-9033

Phone Numbers:
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126

Please also see our staff directory.

* This document is a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.

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