Division of Securities News

News from the Washington State Division of Securities.

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02/15/2019
The Washington Securities Division has adopted amendments to the investment adviser rules at Chapter 460-24A WAC.
02/01/2019
The final stage of the annual renewal process is your fiscal year end filings.
11/27/2018
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.
08/16/2018
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.
03/08/2016
Information for investment advisers who are succeeding their business to another entity or individual. There are two types of succession: Succession by Amendment or Succession by New Application.
02/10/2016
This addresses investment advisers moving to or opening a place of business in the State of Washington and providing investment advisory services for compensation in this state or holding themselves out as doing so, prior to registering in this state as investment advisers or investment adviser representatives.
10/30/2015
The Securities Division is pleased to announce the availability of its online electronic filing system for franchise broker and franchise exemption applications.
06/11/2015
The Securities Division has adopted Franchise Act Interpretive Statement FIS-08 (“Interpretive Statement”). The Interpretive Statement provides guidance on acceptable methods of demonstrating compliance with the net worth requirement found in RCW 19.100.030(4)(b)(i)(4).
02/18/2015
The Division of Securities has published FAQs and answers regarding crowdfunding.
01/22/2015
Startups and other private companies offering securities to investors in multiple states may be able to lower costs and reduce paperwork required to notify state securities regulators. On Dec. 15, 2014, the North American Securities Administrators Association (NASAA) launched a new multi-state filing system enabling private issuers to submit Form D for Regulation D, Rule 506 offerings and pay related fees to participating state securities regulators online in a streamlined manner.
01/08/2015
Washington will require compliance with the NASAA Multi-Unit Commentary by March 15, 2015.
01/01/2014
The final stage of the annual renewal process is your fiscal year end filings. These must be completed within 90 days after your fiscal year end. If your fiscal year end is December 31, your filing requirements will be due March 31. Please see the notice linked below for more information.
10/23/2013
On July 10, 2013, the Securities and Exchange Commission (SEC) adopted rules eliminating the prohibition on general solicitation and general advertising and disqualifying felons and other "bad actors" from Rule 506 offerings. The rules became effective on September 23, 2013. NASAA has prepared the following FAQ that addresses certain issues relating to the General Solicitation Rules and Bad Actor Rules.