Investment Adviser and Broker-Dealer Fees

Industry: 
Securities
Rulemaking Status: 
Adopted
Effective Date: 
09/05/2018
The Securities Division has adopted a rule to implement a $10 fee increase for initial and renewal applications for registration as an investment adviser, broker-dealer, investment adviser representative, and securities salesperson, in addition to the initial and renewal notice filing fees for federal covered advisers, to defray the costs of administering the Securities Act of Washington, chapter 21.20 RCW.

Rulemaking Documents

Rulemaking Comments

Please send comments to:

Faith Anderson
Phone: (360) 725-7825
Fax: (360) 704-6480
Email: faith.anderson@dfi.wa.gov

Address:
P.O. Box 9033
Olympia, WA
98507-9033