Washington StatutesTitle 21 - Securities and investments
- 21.20 - Securities act of Washington.
- 21.20.005 - Definitions.
- 21.20.010 - Unlawful offers, sales, purchases.
- 21.20.020 - Unlawful acts of person advising another.
- 21.20.030 - Unlawful acts of investment adviser.
- 21.20.035 - Unlawful purchases or sales for customer's account.
- 21.20.037 - Variable contracts -- Registration required -- Rules.
- 21.20.040 - Registration and notification required -- Exemptions.
- 21.20.050 - Application for registration -- Filing of documents -- Consent to service of process -- Fee.
- 21.20.060 - Contents of application for registration -- Capital requirements.
- 21.20.070 - When registration effective -- Requirements determined by rule.
- 21.20.080 - Duration of registration -- Association with issuer, broker-dealer, federal covered adviser, or investment adviser -- Notice to director -- Extension of licensing period.
- 21.20.090 - Renewal of registration -- Financial reports -- Application for a successor.
- 21.20.100 - Accounts, correspondence, memoranda, papers, books, and other records -- Release of information -- Correction of filed document -- Examination.
- 21.20.110 - Director may deny, suspend, revoke, restrict, condition, or limit any application or registration -- Director may censure or fine registrant -- Grounds -- Procedures -- Costs -- Accounting
- 21.20.120 - Denial, suspension, revocation of registration -- Order -- Request for, notice of hearing -- Findings and conclusions.
- 21.20.130 - Cancellation of registration or application -- Grounds.
- 21.20.135 - License as salesperson or broker-dealer prerequisite to suit for commission.
- 21.20.140 - Unlawful to offer or sell unregistered securities -- Exceptions.
- 21.20.180 - Registration by coordination -- Requirements -- Statement, contents.
- 21.20.190 - Time of taking effect of registration statement by coordination -- Conditions -- "Price amendment", notification.
- 21.20.200 - Failure to notify of price amendment, proof of compliance -- Stop order -- Waiver of certain conditions.
- 21.20.210 - Registration by qualification -- Statements -- Requirements -- Audits.
- 21.20.220 - Information not required when nonissuer distribution.
- 21.20.230 - Time of taking effect of registration statement by qualification -- Conditions.
- 21.20.240 - Registration statements -- Generally.
- 21.20.250 - Registration by qualification or coordination -- Escrow -- Impounding proceeds.
- 21.20.260 - Registration by coordination or qualification -- Offer and sale -- Duration of effectiveness.
- 21.20.270 - Reports by filer of statement -- Annual financial statements.
- 21.20.275 - Pending registration -- Notice of termination -- Application for continuation.
- 21.20.280 - Stop orders -- Grounds.
- 21.20.290 - Stop order prohibited if facts known on effective date of statement.
- 21.20.300 - Notification of entry of stop order -- Hearing -- Findings, conclusions, modification, etc.
- 21.20.310 - Securities exempt from registration.
- 21.20.320 - Exempt transactions.
- 21.20.325 - Denial, revocation, condition, of exemptions -- Authority -- Procedure.
- 21.20.327 - Required filings -- Consent to service -- Failure to comply -- Rules -- Fees.
- 21.20.330 - Consent to service of process -- Service, how made.
- 21.20.340 - Fees -- Disposition.
- 21.20.350 - False or misleading statements in filed documents.
- 21.20.360 - Filing, registration, statement, exemption not conclusive as to truth or completeness -- Unlawful representations.
- 21.20.370 - Investigations -- Statement of facts relating to investigation may be permitted -- Publication of information -- Use of criminal history record information.
- 21.20.380 - Oaths -- Subpoenas -- Assisting another state -- Compelling obedience -- Punishment.
- 21.20.390 - Injunction, cease and desist order, restraining order, mandamus -- Appointment of receiver or conservator for insolvent -- Restitution or damages -- Costs -- Accounting.
- 21.20.395 - Administrative action -- Hearing -- Judicial review -- Judgment.
- 21.20.400 - Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 288).
- 21.20.410 - Attorney general, prosecuting attorney may institute criminal proceeding -- Referral of evidence by director.
- 21.20.420 - Criminal punishment, chapter not exclusive.
- 21.20.430 - Civil liabilities -- Survival, limitation of actions -- Waiver of chapter void -- Scienter.
- 21.20.435 - Assurance of discontinuance of violations -- Acceptance -- Filing.
- 21.20.440 - Judicial review of order -- Modification of order by director on additional evidence.
- 21.20.450 - Administration of chapter -- Rules and forms, publication -- Cooperation with other state and federal authorities.
- 21.20.460 - Administrator of securities -- Appointment, qualifications, term, etc.
- 21.20.470 - Compensation, travel expenses of administrator and employees.
- 21.20.480 - Unlawful use or disclosure of filed information.
- 21.20.490 - No liability under chapter for act in good faith.
- 21.20.500 - Administrative hearings public -- Exception.
- 21.20.510 - Document filed when received -- Register -- Inspection of register, information, etc.
- 21.20.520 - Copies of entries, documents to be furnished -- Copies as prima facie evidence.
- 21.20.530 - Interpretative opinions by director.
- 21.20.540 - Exemptions, exceptions, and preemptions -- Burden of proof.
- 21.20.700 - Investigations and examinations -- Additional authority -- Scope.
- 21.20.702 - Suitability of recommendation--Reasonable grounds required.
- 21.20.705 - Debenture companies -- Definitions.
- 21.20.710 - Debenture companies -- Capital requirements.
- 21.20.715 - Debenture companies -- Maturity date requirements.
- 21.20.717 - Debenture companies -- Controlling person -- Exceptions.
- 21.20.720 - Debenture companies -- Prohibited activities by directors, officers, or controlling persons.
- 21.20.725 - Debenture companies -- Debentures payable on demand--Interest--Certificates of debenture.
- 21.20.727 - Debenture companies -- Acquisition of control -- Requirements -- Violation -- Penalty.
- 21.20.730 - Debenture companies -- Acquisition of control -- Grounds for disapproval.
- 21.20.732 - Debenture companies -- Notice of charges -- Hearing -- Cease and desist orders.
- 21.20.734 - Debenture companies -- Temporary cease and desist orders.
- 21.20.740 - Reports -- Requirements.
- 21.20.745 - Reports -- Violations of reporting requirements -- Penalties -- Contribution.
- 21.20.750 - Reports -- Suspension of sale of securities until reporting requirements complied with.
- 21.20.800 - Severability -- 1973 1st ex.s. c 171.
- 21.20.805 - Effective date -- Construction -- 1973 1st ex.s. c 171.
- 21.20.810 - Application of chapter not limited.
- 21.20.815 - Debenture companies -- Equity investments.
- 21.20.820 - Debenture companies -- Loans to any one borrower -- Limitations.
- 21.20.825 - Debenture companies -- Bad debts.
- 21.20.830 - Debenture companies -- Investments in unsecured loans.
- 21.20.835 - Debenture companies -- Debenture holders -- Notice of maturity date of debenture.
- 21.20.840 - Debenture companies -- Annual financial statement.
- 21.20.845 - Debenture companies -- Rules.
- 21.20.850 - Debenture companies -- Record maintenance and preservation -- Examination.
- 21.20.855 - Debenture companies -- Examination reports and information -- Exempt from public disclosure -- Use in civil actions.
- 21.20.860 - Construction -- Chapter applicable to state registered domestic partnerships -- 2009 c 521.
- 21.20.900 - Construction to secure uniformity.
- 21.20.905 - Severability -- 1959 c 282.
- 21.20.910 - Saving -- Civil, criminal proceedings.
- 21.20.915 - Saving -- Prior effective registrations.
- 21.20.920 - Application of prior law.
- 21.20.925 - Judicial review of prior administrative orders.
- 21.20.930 - Solicitation permits under insurance laws not limited.
- 21.20.935 - Repealer.
- 21.20.940 - Short title.
- 21.30 - Commodity transactions.
- 21.30.005 - Intent.
- 21.30.010 - Definitions.
- 21.30.020 - Transactions involving commodity contract or option -- Prohibition -- Exceptions.
- 21.30.030 - Transactions conducted by certain persons exempt from prohibition under RCW 21.30.020.
- 21.30.040 - Transactions and contracts exempt from prohibition under RCW 21.30.020 -- Rules.
- 21.30.050 - Commodity merchants -- Place for trading commodity contract or option -- Requirements.
- 21.30.060 - Prohibited practices.
- 21.30.070 - Responsibility for acts or omissions -- Liability -- Burden of proof.
- 21.30.080 - Offers to sell or buy in this state -- Application of RCW 21.30.020, 21.30.050, and 21.30.060.
- 21.30.090 - When publications or electronic communications not deemed offers to sell or buy in this state.
- 21.30.100 - Investigations -- Statements -- Publication of information.
- 21.30.110 - Investigations -- Evidence -- Subpoenas -- Court orders of compliance.
- 21.30.120 - Violations -- Director's authority -- Court actions -- Penalties.
- 21.30.130 - Violations -- Court-ordered remedies -- Penalties -- Bond by director not required.
- 21.30.140 - Willful violations -- Penalty -- Limitation on actions.
- 21.30.150 - No liability under chapter for act in good faith.
- 21.30.160 - Unlawful use or disclosure of information.
- 21.30.170 - Information -- Availability to public -- Exceptions.
- 21.30.180 - Cooperation with other agencies or organizations.
- 21.30.190 - Consent for service of process -- Service, how made.
- 21.30.200 - Administrative proceedings -- Summary order -- Notice -- Hearing -- Final order.
- 21.30.210 - Application of chapter 34.05 RCW, the administrative procedure act.
- 21.30.220 - Pleading exemptions or exceptions -- Burden of proof.
- 21.30.230 - Application for licensing.
- 21.30.240 - Fees.
- 21.30.250 - Examinations -- Waiver.
- 21.30.260 - Expiration of licenses -- Authority under commodity sales representative license -- Notification of changes.
- 21.30.270 - Multiple licenses, when permitted.
- 21.30.280 - Classification of licenses -- Limitations and conditions of licenses.
- 21.30.290 - Annual report and fee.
- 21.30.300 - Minimum net capital and fidelity bond requirements.
- 21.30.310 - Financial and other reports.
- 21.30.320 - Records.
- 21.30.330 - Correcting amendments of information in application or financial and other reports -- Exception.
- 21.30.340 - Examination of records -- Copies -- Fees.
- 21.30.350 - Denial, suspension, revocation, or limitation of license -- Grounds.
- 21.30.360 - Violations -- Prosecuting attorney may bring criminal proceedings.
- 21.30.370 - Penalties in chapter nonexclusive.
- 21.30.380 - Administration of chapter under director of financial institutions.
- 21.30.390 - Administrator -- Appointment -- Delegation of duties -- Term.
- 21.30.400 - Director's powers and duties -- Rules, forms, and orders -- Fees.
- 21.30.800 - Securities laws not affected.
- 21.30.810 - Construction and purpose.
- 21.30.900 - Severability -- 1986 c 14.
- 21.30.901 - Effective date -- 1986 c 14.
- 21.35 - Uniform transfer on death security registration act.
- RCW Dispositions
- Notes