Securities

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

Thursday, January 22, 2015
Startups and other private companies offering securities to investors in multiple states may be able to lower costs and reduce paperwork required to notify state securities regulators. On Dec. 15, 2014, the North American Securities Administrators Association (NASAA) launched a new multi-state filing system enabling private issuers to submit Form D for Regulation D, Rule 506 offerings and pay related fees to participating state securities regulators online in a streamlined manner.
Thursday, January 8, 2015
Washington will require compliance with the NASAA Multi-Unit Commentary by March 15, 2015.
Tuesday, November 4, 2014
The annual renewal fees for investment advisers and their representatives must be paid to the Investment Adviser Registration Depository (IARD) by December 12, 2014. Please see the notice linked below for more information.
Thursday, October 16, 2014
The Securities Division has adopted a new rule at WAC 460 23B-070 regarding the termination of salespersons for issuers. The new rule specifies that if the employment or association of a salesperson for an issuer is terminated, the salesperson and the issuer must notify the Securities Division of the termination by filing Form U5 with the Division.
Wednesday, October 15, 2014
The Securities Division is considering updating 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.

Complaints

If you have a complaint against an individual selling an investment or offering advice, file a complaint with the Division.

Verify Licenses

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.

Contact Us

Mailing Address:
Department of Financial Institutions
Securities Division
PO Box 9033
Olympia, WA 98507-9033

Phone Numbers:
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126