Securities Registration, Notification, and Exemptions

The offering of securities in Washington is governed by RCW 21.20, the Securities Act of Washington.

The Division of Securities reviews applications for registration, exemption notice filings, and licensing applications. The Division of Securities also conducts on-site inspections. See below for more information.

Registration and Exemptions

Inspections

Our financial examiners conduct on-site inspections of broker-dealers, investment advisers, mortgage broker-dealers, and debenture companies. Financial examiners conduct inspections on a risk-based examination cycle. We also conduct "for cause" inspections in response to complaints or other indications that violations may be occurring.

Questions about inspections? For general questions about inspections, please e-mail Joanne Jones (Joanne.Jones@dfi.wa.gov) or call (360) 902-8735. Please note, however, that information concerning specific inspections is generally non-public information that may not be disclosed.

Help

Questions regarding registration or exemptions? If you have questions about registration or exemptions, email Jill Vallely at Jill.Vallely@dfi.wa.gov or call (360) 902-8760 and request to speak with a Division of Securities representative.

Securities Options for Small Businesses

If you would like more information about the securities options that are available for small businesses, please see the Small Business Assistance Program page on our web site.

Mutual Funds Filings

If you have questions about mutual fund filings or procedures email Bruce Johnson at Bruce.Johnson@dfi.wa.gov or call (360) 902-8760 and select #2 from the menu.

National Securities Offerings

If you have questions about filings for national securities offerings registering by coordination, including the Coordinated Review-Equity process, please e-mail Jill Vallely at Jill.Vallely@dfi.wa.gov or call the Division at (360) 902-8760.

Securities Registration and Exemptions

If you have questions about other types of securities registrations, or notifications or exemptions email Trang Pham at Trang.Pham@dfi.wa.gov or call (360) 902-8738.

Statutes and Rules

Listing of Statutes and Rules
Statutes and rules enforced by the Division of Securities.

Frequently Asked Questions

For commonly asked questions and their responses, please refer to the Frequently Asked Questions page on our website.

Other Websites of Interest