Washington State Department of Financial Institutions

Other Useful Links


FINRA Central Registration Depository (CRD) System - Links to information on examinations, fee schedules, forms and other topics

SEC Information for Investment Advisers - Links to federal statutes, rules, forms, compliance information, and May 2000 regulatory issues roundtable

Investment Adviser Registration Depository (IARD) - Information on the new national electronic filing database

SEC Information on the IARD System

North American Securities Administrators Association - Click on "Contact Your Regulator" if you plan to do business in other states and want to find out their requirements.  On the Main Menu under "Industry and Regulatory Resources" click on "Exams" and "Investment Adviser" to find information on those topics.


Investment Adviser Regulation - A Step-by-Step Guide to Compliance and the Law by Clifford E. Kirsch
Practising Law Institute 800-260-4PLI

Regulation of Investment Advisers by Thomas P. Lenke and Gerald T. Lins
West Group 800-328-4880