Industry
Investment Advisers
Rulemaking Status
Open
Rulemaking Subject/About
The Securities Division is considering proposing amendments to the investment adviser rules in Chapter 460-24A WAC to bring the rules up to date with federal rules, incorporate NASAA model rules, and make other updates and clarifications. The Securities Division has prepared a draft of possible amendments (“Draft Rules”).
Next Steps
Once the Securities Division has analyzed the results of the survey, it will formally propose amendments in a Notice of Proposed Rulemaking (CR-102). The CR-102 will include a deadline for comments and set a public hearing date. If you have comments at this time, however, you may submit them to jill.vallely@dfi.wa.gov.