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

02/03/2017
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.
02/01/2017
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.
01/31/2017
The Securities Division proposes to repeal 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.
11/14/2016
Renewal season is here. Here's what you need to know.
03/08/2016
Information for investment advisers who are succeeding their business to another entity or individual. There are two types of succession: Succession by Amendment or Succession by New Application.

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