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 is soliciting comments on proposed rules to require notice filings in connection with Tier 2 securities offerings under federal Regulation A.
The Division of Securities has adopted amendments to WAC 460-80-140 to correct a reference to the Federal Trade Commission’s franchise disclosure rule concerning financial statements. The amendment adopted changes the citation from 16 C.F.R. § 465.5(u) to 16 C.F.R. § 436.5.
The Securities Division has adopted amendments to WAC 460-44A-502 to provide legend guidance for restricted securities. The adopted amendments remove a reference to an outdated North American Securities Administrators Association (“NASAA”) guideline and instead provide the suggested language for the legends in the text itself.
The Securities Division has adopted Franchise Act Interpretive Statement FIS-08 (“Interpretive Statement”). The Interpretive Statement provides guidance on acceptable methods of demonstrating compliance with the net worth requirement found in RCW 19.100.030(4)(b)(i)(4).
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