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

01/07/2016
The Department of Financial Institutions has proposed new rules to implement the Washington Small Business Retirement Marketplace
12/21/2015
The Securities Division is considering proposing rules to require notice filings of crowdfunding offerings made under new federal rules.
12/14/2015
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.
12/03/2015
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.
11/16/2015
Renewal season is almost here. The annual renewal fees for investment advisers and their representatives must be received by the Investment Adviser Registration Depository (IARD) no later than December 18, 2015.

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