Statutes and Rules
Exemption Tables - Summaries of the exemptions from registration available for securities offerings.
If you would like to be added to any of the division's "interested persons" email lists, please use the Securities Division Interested Persons List form.
Rulemaking Activity - A list of all rules changes recently proposed and/or adopted. You may comment using an online form if the comment period is open.
Note: Beginning July 1, 2006, the Division of Consumer Services administers the Escrow Agent Registration Act, RCW 18.44 instead of the Division of Securities. Escrow related pages, forms, and links have been updated to reflect this change. Please contact the Division of Consumer Services at email@example.com or by calling 360-902-8703 with any questions.
- General Provisions
WAC 208-08 - Adjudicative Procedures
WAC 208-12 - Public Records
WAC 460-10A - Definitions
WAC 460-11A - Multijurisdictional Disclosure System
WAC 460-12A - Fraudulent and Other Prohibited Practices
WAC 460-16A - General Rules
WAC 460-17A - Small Company Offering Registration
WAC 460-18A - Notice Filings
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
WAC 460-24A - Investment Advisers
WAC 460-25A - Use of Senior Designations
WAC 460-28A - Advertisements
WAC 460-32A - Real Estate Programs
WAC 460-33A - Mortgages, Trust Deeds or Property Sales Contracts
WAC 460-42A - Exempt Securities
WAC 460-44A - Exempt Transactions
WAC 460-52A - Non-Profit Organizations
WAC 460-60A - Financial Statements and Reports
WAC 460-64A - Debenture Companies
WAC 460-80 - Franchise Registration
WAC 460-82 - Franchise Broker
Interpretive and Policy Statements
Securities Act Interpretive Statements
Securities Act Policy Statements
Franchise Act Interpretive Statements
Franchise Act Policy Statements
Federal LawsSecurities Statutes and Rules
National Securities Market Improvement Act of 1996 (PDF)*
Franchise and Business Opportunity Statutes and Rules
Laws of Other States
* This document is a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.