Securities Act Interpretive and Policy Statements
Securities Act Policy Statements
| Number | Date | Subject |
|---|---|---|
| PS-01 | Determination Of The Filing Date RCW 21.20.510 - Document Filed When Received | |
| PS-03 | RCW 21.20.240 - Use Of Preliminary Or Red Herring Prospectuses In Qualification Filings | |
| PS-04 | Repealed | |
| PS-05 | Blind Pool/Blank Check Offerings - Duty To Disclose Material Facts - RCW 21.20.010 - Unlawful Offers, Sales | |
| PS-06 | Projections - Policy On Use In Registrations And Other Filings | |
| PS-08 | Government Bond Promotions By Retailers RCW 21.20.005(10) - "Offer" and "Sale" RCW 21.20.005(3) - "Broker-Dealer" | |
| PS-10 | WAC 460-16A-205(p) - Promotional Shares Rule - Three Year Limitation | |
| PS-16 | Securities Offering On The Internet | |
| PS-20 | Internet Advertising By Broker-Dealers, Investment Advisers, And Their Representatives | |
| PS-21 | Repealed | |
| PS-22 | Oversales by Investment Companies | |
| PS-23 | Custody: Standing Letters of Authorization |
Securities Act Interpretive Statements
| Number | Date | Subject |
|---|---|---|
| IS-01 | RCW 21.20.330 - Consent To Service Of Process | |
| IS-03 | RCW 21.20.310(3) - Securities Issued by Domestic Branches of Foreign Banks | |
| IS-04 | RCW 21.20.310(3), .310(4) - Applicability to Mutual and Stock Savings Banks | |
| IS-05 | RCW 21.20.310 - Exempt Securities That Are Guaranteed | |
| IS-06 | RCW 21.20.310(10) – Securities Exemption for Employee Benefit Plans | |
| IS-07 | RCW 21.20.310(11) - Nonprofit Organization Exemption Disclosure Requirements | |
| IS-09 | Nonpublic Offerings & Isolated Transactions - General Partnerships As Purchasers | |
| IS-10 | IRA's and Keoghs as "Pension Trusts" | |
| IS-11 | RCW 21.20.320(8) - Exemptions - "Institutional Buyer" | |
| IS-12 | RCW 21.20.320(11) - Offers To Holders Of Transferable Warrants | |
| IS-13 | RCW 21.20.320(11) - Offers Or Sales To Existing Security Holders - Applicability In Parent/Subsidiary Situations | |
| IS-14 | RCW 21.20.320(11) - Offer To Existing Security Holders Of The Issuer - Applicability To Mutual Funds | |
| IS-16 | RCW 21.20.320(3), WAC 460-21B-060(22), WAC 460-22B-090(18) - Unsolicited Offers | |
| IS-20 | RCW 21.20.320(10) - Preorganization Certificates | |
| IS-21 | Repealed | |
| IS-22 | Investment Adviser Fee Sharing | |
| IS-23 | Non-Profit Exemption at RCW 21.20.310(11) – Restricted Offering Class |