Washington State Department of Financial Institutions

Interested Persons List

If you would like to be added to the Securities Division’s “Interested Persons List,” please complete this form and send it to the Division.  The List is primarily used to distribute information concerning rule changes and amendments to the Division’s Policy and Interpretive Statements.

Name:
Address:
 
 

The Division can distribute this information much more quickly and less expensively by using email or facsimile.  Therefore, please provide your email address and fax number below:

Email:
Fax:

I want to receive rule-making information concerning the following subjects:

Securities -- Registration and Exemption of offerings
Securities -- Broker-Dealers & Salespersons

Securities – Investment Advisers and

  Investment Adviser Representatives
Mortgage Broker-Dealers (WAC 460-33A)
Debenture Companies 

Franchises – Including Franchise Brokers
Business Opportunities
Commodities
Escrow -- Agents and officers
   Securities Licensee Newsletter

Pressing the submit button will email the completed form to the Securities Division. The reset button clears all fields in this form.