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Revised Code of Washington
Title 21
Chapter 21.20
Wash. Rev. Code ch. 21.20
Securities act of Washington.
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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.
21.20.377
Subpoena authority—Application—Contents—Notice—Fees.
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.
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.
21.20.810
Application of chapter not limited.
21.20.855
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.
21.20.880
Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
21.20.900
Construction to secure uniformity.
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.