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Washington Administrative Code (WAC)
Title 460
Chapter 20C
Wash. Admin. Code ch. 460-20C
Broker-dealers and Salespersons of Broker-dealers
FINANCIAL INSTITUTIONS, DEPARTMENT OF (SECURITIES DIVISION)
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460-20C-010
Application of chapter
460-20C-015
Cross-reference to other sections relating to broker-dealers and salespersons
460-20C-020
Definitions
460-20C-025
Filings made through the Central Registration Depository
460-20C-030
Registration procedure
460-20C-035
Canadian broker-dealers and salespersons
460-20C-040
Examination requirements
460-20C-045
Notice of termination of pending applications
460-20C-050
Expiration and renewal of registration
460-20C-060
Notice of changes by broker-dealers
460-20C-080
Mass transfer of salespersons
460-20C-090
Termination of broker-dealer registration
460-20C-100
Termination of salesperson registration
460-20C-110
Minimum net capital requirements for broker-dealers
460-20C-120
Reserve and custody requirements
460-20C-130
Books and records of broker-dealers
460-20C-140
Financial reporting requirements
460-20C-150
Supervision of salespersons and employees
460-20C-160
Fraudulent practices of broker-dealers and salespersons
460-20C-170
Excessive trading
460-20C-180
Transmission or maintenance of payments received in connection with underwritings
460-20C-190
Communications with the public
460-20C-200
Deferred variable annuities
460-20C-210
Dishonest or unethical practices—Broker-dealers
460-20C-220
Dishonest or unethical practices—Salespersons