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
This addresses investment advisers moving to or opening a place of business in the State of Washington and providing investment advisory services for compensation in this state or holding themselves out as doing so, prior to registering in this state as investment advisers or investment adviser representatives.
The Department of Financial Institutions has proposed new rules to implement the Washington Small Business Retirement Marketplace
The Securities Division is considering proposing rules to require notice filings of crowdfunding offerings made under new federal rules.
The Securities Division is considering amending the limited offering exemption in WAC 460-44A-504, as well as the crowdfunding rules contained in chapter 460-99C WAC, in the event the federal Securities and Exchange Commission (“SEC”) adopts amendments that have been proposed to related federal rules.
The Washington Securities Division has adopted new 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 new rules provide this information.
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