Washington State Department of Financial Institutions

Securities Registration, Notification, and Exemptions


The offering of securities in Washington is governed by RCW 21.20, the Securities Act of Washington. Additionally, the enactment in October 1996 of the federal National Securities Markets Improvements Act of 1996 preempts Washington law in several respects. (see Frequently Asked Questions: "What is the effect on securities offerings in Washington of the National Securities Markets Improvements Act of 1996?").

If you would like more information about the securities options that are available for small businesses, please see the Small Business Assistance Program Section on our web site.

If you have questions about mutual fund filings or procedures e-mail Bruce Johnson at Bruce.Johnson@dfi.wa.gov or call 360-902-8760 and select #2 from the menu.

If you have questions about filings for national securities offerings registering by coordination, including the Coordinated Review-Equity process, please e-mail Jill Vallely at Jill.Vallely@dfi.wa.gov or call the Division at 360-902-8760.

If you have questions about other types of securities registrations, or notifications or exemptions e-mail Trang Pham at Trang.Pham@dfi.wa.gov or call 360-902-8738.

Forms Available

Most forms required by the Securities Division are available on the Forms section of the website.

Statutes and Rules

The statutes and rules enforced by the Securities Division are available on our website on the Statutes and Rules page.
You can also access interpretive and policy statements there.

Frequently Asked Questions

For commonly asked questions and their responses, please refer to the Frequently asked Questions section of the web site.

Other Web Sites That May Be Of Interest: