The primary mission of the Division of Securities, which was established in the early 1930s, is to protect the investing public and promote confidence in the capital markets. About the Securities Division
News and Updates
Join the Securities Division to discuss how the recent amendments to the investment adviser rules, WAC 460-24A, impact investment advisers registered in the State of Washington. The amendments changed the financial reporting requirements, custody requirements, and books and records requirements. In addition, learn about common licensing issues and how to avoid typical examination mistakes.
The Securities Division is proposing amendments to WAC 460-80-140 to correct a reference to the Federal Trade Commission’s franchise disclosure rule concerning financial statement requirements. The Securities Division has now filed a notice of Proposed Rule Making (Form CR-102) and the text of the proposed rules (OTS-6958). The materials are available on our rulemaking page.
The Securities Division is considering creating rules to codify the filing requirements for securities registration renewal applications. The Securities Division frequently receives inquiries from securities issuers and attorneys asking how to apply for renewal. The creation of rules on this topic for both qualification and coordination filings would provide securities issuers with useful information.
The Securities Division has adopted final amendments to WAC 460-80-300 to explicitly allow for delivery of Franchise Disclosure Documents over the Internet or by other electronic means, or in machine-readable media.
The Securities Division is proposing to amend WAC 460-44A-502(4)(d). Since the adoption of the current rule regarding cover legend requirements for certificates documenting restricted securities in Washington, the North American Securities Administrators Association (“NASAA”) guideline referenced in the rule has become outdated and difficult to access. The Securities Division is now proposing amendments to the rule to remove the reference to the outdated NASAA guideline regarding cover legends and instead provide the suggested language for the legends in the text itself.
If you have a complaint against an individual selling an investment or offering advice, file a complaint with the Division.
Before investing, make sure to verify the license of the individual selling the investment and make sure the investment itself is registered to be sold in Washington.
Old Stock Certificates
Links to resources to help you find the value of old stock certificates.
Department of Financial Institutions
PO Box 9033
Olympia, WA 98507-9033
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126