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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PS-04 Repealed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PS-21 Repealed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IS-21 Repealed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