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Washington Administrative Code (WAC)

Title 460

Wash. Admin. Code tit. 460

Financial Institutions, Department of (Securities Division)

FINANCIAL INSTITUTIONS, DEPARTMENT OF (SECURITIES DIVISION)

05AFees 10ADefinitions 11AMultijurisdictional Disclosure System 12AFraudulent and Other Prohibited Practices 16AGeneral Rules 17ASmall Company Offering Registration 18ANotice Filings for Federal Covered Securities 20CBroker-dealers and Salespersons of Broker-dealers 21CBroker-dealer Services at Financial Institutions 23BSalespersons for Issuers 24AInvestment Advisers 25AUse of Senior Designations 28AAdvertisements 32AReal Estate Related Securities Programs 42AExempt Securities 44AExempt Transactions 52ANonprofit Organizations 60AFinancial Statements and Reports—Contents and Filing Requirements 64ACapital Requirements—Definitions 80Franchise Registration 82Broker 99CCrowdfunding 300General Rules