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
Renewal season is almost here. Renewal has two steps: (1) payment of annual renewal fees to the Investment Adviser Registration Depository (IARD), which must be received by the IARD no later than December 16, 2019; and (2) annual filing requirements, which are due within 90-120 days after the investment adviser’s fiscal year end (FYE).
The Securities Division is issuing this notice to inform franchisors and their counsel of the Division’s position regarding whether franchisors must disclose assurances of discontinuance in their Franchise Disclosure Documents.
The Washington Securities Division has adopted amendments to the investment adviser rules at Chapter 460-24A WAC.
The final stage of the annual renewal process is your fiscal year end filings.
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.
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