The primary mission of the Division of Securities, which was established in the early 1930s, is to protect the investing public and promote confidence in the capital markets. About the Securities Division
News and Updates
Payment of annual renewal fees to the Investment Adviser Registration Depository (IARD) must be received by the IARD no later than December 17, 2018. Annual filing requirements are due within 90-120 days after the investment adviser’s fiscal year end.
The Division of Securities 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.
Cybersecurity is an issue for firms of all sizes, and a growing issue for securities regulators at all levels. NASAA is hosting a one-day roundtable in Washington, D.C. to bring together leading experts to discuss critical cybersecurity issues for securities regulators and regulated entities. The roundtable will be broadcast live online starting at 10:30 a.m. (eastern) (7:30 a.m. (pacific)).
The Securities Licensing and Examinations unit released a list of the 2017 most common investment adviser examination deficiencies.
The Securities Division intends to amend WAC 460-16A-205 to update its adoption of various statements of policy promulgated by the North American Securities Administrators Association (“NASAA”) that are applied to securities offerings sought to be registered under RCW 21.20.180 or 21.20.210.
If you have a complaint against an individual selling an investment or offering advice, file a complaint with the Division.
Before investing, make sure to verify the license of the individual selling the investment and make sure the investment itself is registered to be sold in Washington.
Old Stock Certificates
Links to resources to help you find the value of old stock certificates.
Department of Financial Institutions
PO Box 9033
Olympia, WA 98507-9033
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126