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
The Securities Division adopted its repeal of WAC 460-44A-505, the “Uniform offering exemption for limited offers and sales of securities not exceeding $5,000,000,” in light of the recent repeal of the corresponding federal exemption from securities registration.
The Securities Licensing and Examinations unit released a list of the 2016 most common investment adviser examination deficiencies.
The Securities and Exchange Commission (SEC) is aware of reports of malicious emails sent to some EDGAR filers that appear to be part of a phishing campaign to compromise company network systems and obtain access to non-public information. The malicious emails purport to be communications from the SEC about changes to Form 10-K and sometimes contain malicious attachments. Clicking on the attachment(s) results in an attempt to install malware designed to obtain unauthorized access to the recipient’s computer and/or network.
The Securities Division has amended WAC 460-10A, 460-42A, and 460-44A to make technical updates to the manual exemption, and to update references to securities manuals and rating agencies.
Happy New Year! Thank you for successfully making your annual renewal payments. The final stage of the annual renewal process is your fiscal year end filings.
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