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 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the North American Securities Administrators Association (“NASAA”) guideline referenced in the rule has become outdated and difficult to access. The Securities Division is now proposing amendments to the rule to remove the reference to the outdated NASAA guideline regarding cover legends and instead provide the suggested language for the legends in the text itself.
The Securities Division has filed a Preproposal Statement of Inquiry (Form CR-101) to commence the rule-making process to pursue the adoption of rules that will preserve filing requirements in connection with offerings of securities to be made under Tier 2 of the Securities and Exchange Commission’s newly adopted rules for Regulation A offerings.
The Securities Division adopted a final rule to update the exemption from securities registration for investment grade securities set forth in WAC 460-42A-081 to more closely align with Section 18 of the Securities Act of 1933 and federal Rule 146 adopted thereunder.
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.
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