Washington State Department of Financial Institutions

Selected Statutory Provisions and Rules

Statutory Provisions

21.20.005 Definitions of Broker-Dealer and Salesperson
21.20.035 Unlawful Purchases or Sales for Customer's Account
21.20.040 Registration and Notification Required - Exemptions
21.20.080 Duration of Registration
21.20.100 Accounts, Correspondence, Memoranda, Papers, Books and Other Records
21.20.110 Denial, Suspension, Revocation of Registration
21.20.702 Suitability of Recommendation - Reasonable Grounds Required

Rules

WAC 460-20B Broker-Dealer Registration
WAC 460-21B Broker-Dealer Practices
WAC 460-21C Broker-Dealer Services at Financial Institutions
WAC 460-22B Salespersons of Broker-Dealer
WAC 460-23B Salespersons of Issuer

Interpretive and Policy Statements

IS-10 IRA's and Keoghs as "Pension Trusts"
IS-16 RCW 21.20.320(3), WAC 460-21B-060(22), WAC 460-22B-090(18) - Unsolicited Orders
PS-20 Internet Advertising by Broker-Dealers, Investment Advisers, and their Representatives

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