A core mission of the Securities Division of the Department of Financial Institutions is to promote small business capital formation. One way small businesses can raise capital is by selling stock or other securities in their companies.

Several special programs have been created to assist small businesses desiring to conduct a securities offering. These programs provide special guidance for designing an offering, drafting a disclosure document, and offering in multiple states.


Our staff is available for consultations over the telephone or by email. Businesses considering an offering of securities may also schedule a pre-filing conference to discuss the options available to them. The Division encourages these conferences as a way to resolve as many issues as possible prior to filing. Call (360) 902-8760 and ask for the Small Business Section or send an email to Faith Anderson at Faith.Anderson@dfi.wa.gov to get the answers to your questions or arrange a meeting.

Raising Capital

Coordinated Review Programs

FAQs, Resources