Securities Act Interpretive and Policy Statements

Securities Act Policy Statements

Number	Date	Subject
PS-01	05/31/1996	Determination Of The Filing Date RCW 21.20.510 - Document Filed When Received
PS-03	01/01/1991	RCW 21.20.240 - Use Of Preliminary Or Red Herring Prospectuses In Qualification Filings
PS-04	01/01/1991	Repealed
PS-05	01/01/1991	Blind Pool/Blank Check Offerings - Duty To Disclose Material Facts - RCW 21.20.010 - Unlawful Offers, Sales
PS-06	05/17/1991	Projections - Policy On Use In Registrations And Other Filings
PS-08	01/01/1991	Government Bond Promotions By Retailers RCW 21.20.005(10) - "Offer" and "Sale" RCW 21.20.005(3) - "Broker-Dealer"
PS-10	05/31/1996	WAC 460-16A-205(p) - Promotional Shares Rule - Three Year Limitation
PS-16	05/23/1996	Securities Offering On The Internet
PS-20	09/08/1997	Internet Advertising By Broker-Dealers, Investment Advisers, And Their Representatives
PS-21	12/18/2014	Repealed
PS-22	01/07/2015	Oversales by Investment Companies
PS-23	09/29/2017	Custody: Standing Letters of Authorization

Number	Date	Subject
IS-01	05/31/1996	RCW 21.20.330 - Consent To Service Of Process
IS-03	01/01/1991	RCW 21.20.310(3) - Securities Issued by Domestic Branches of Foreign Banks
IS-04	01/01/1991	RCW 21.20.310(3), .310(4) - Applicability to Mutual and Stock Savings Banks
IS-05	01/01/1991	RCW 21.20.310 - Exempt Securities That Are Guaranteed
IS-06	01/01/1996	RCW 21.20.310(10) – Securities Exemption for Employee Benefit Plans
IS-07	01/01/1991	RCW 21.20.310(11) - Nonprofit Organization Exemption Disclosure Requirements
IS-09	01/01/1991	Nonpublic Offerings & Isolated Transactions - General Partnerships As Purchasers
IS-10	01/01/1991	IRA's and Keoghs as "Pension Trusts"
IS-11	01/01/1991	RCW 21.20.320(8) - Exemptions - "Institutional Buyer"
IS-12	01/01/1991	RCW 21.20.320(11) - Offers To Holders Of Transferable Warrants
IS-13	01/01/1991	RCW 21.20.320(11) - Offers Or Sales To Existing Security Holders - Applicability In Parent/Subsidiary Situations
IS-14	01/01/1991	RCW 21.20.320(11) - Offer To Existing Security Holders Of The Issuer - Applicability To Mutual Funds
IS-16	05/31/1996	RCW 21.20.320(3), WAC 460-21B-060(22), WAC 460-22B-090(18) - Unsolicited Offers
IS-20	01/11/1991	RCW 21.20.320(10) - Preorganization Certificates
IS-21	01/25/1999	Repealed
IS-22	04/01/2002	Investment Adviser Fee Sharing
IS-23	07/02/2018	Non-Profit Exemption at RCW 21.20.310(11) – Restricted Offering Class