Washington State Department of Financial Institutions

Investment Adviser Selected Statutory Provisions

RCW 21.20.005(6) Definition of Investment Adviser
RCW 21.20.005(14) Definition of Investment Adviser Representative
RCW 21.20.020 Unlawful Acts of Person Advising Another
RCW 21.20.030 Unlawful Acts of Investment Adviser
RCW 21.20.035 Unlawful Purchases or Sales for a Customer's Account
RCW 21.20.040 Registration and Notice Filings Required - Exemptions
RCW 21.20.100 Accounts and records - Dissemination of Information - Examination

Interpretive and Policy Statements of Particular Interest to Investment Advisers

IS-10 IRA's and KEOGHS as "Pension Trusts"
IS-17 Scope of Broker-Dealer Exclusion from Definition of Investment Adviser
IS-21 Performance Standards in Advertisements
PS-20 Internet Advertising by Broker-Dealers, Investment Advisers, and their Representatives
IS-22
Investment Adviser Fee Sharing - Credit Unions and other unlicensed persons.
 

Investment Adviser Rules

WAC 460-24A