Industry
Securities
Rulemaking Status
Adopted
Effective Date
Rulemaking Subject/About
The Washington Securities Division has adopted a new chapter of rules at Chapter 460-20C WAC concerning broker-dealers and salespersons of broker-dealers, and repealed the rules in Chapters 460-20B, 460-21B, and 460-22B. The rules become effective on October 13, 2024.
Rulemaking Documents
Adopted Rules
- Adopted Rules
- Concise Explanatory Statement
- Rulemaking Order - CR-103P
- Section-By-Section Analysis – Broker-Dealer Adopted Rules
Proposed Rules
More Information
Phone: (360) 902-8760
Email: jill.vallely@dfi.wa.gov