Wash. Admin. Code ch. 460-24A – Investment Advisers | Midpage

Collections
Washington Administrative Code (WAC)

Chapter 24A

Wash. Admin. Code ch. 460-24A

Investment Advisers

FINANCIAL INSTITUTIONS, DEPARTMENT OF (SECURITIES DIVISION)

460-24A-005Definitions 460-24A-010Application of rules to out-of-state investment advisers 460-24A-020Investment adviser representatives employed by federal covered advisers 460-24A-030Use of the term "investment counsel" is prohibited 460-24A-035Counting of clients for registration purposes 460-24A-040Use of certain terms deemed similar to "financial planner" or "investment counselor."460-24A-045Holding out as a financial planner 460-24A-047Electronic filing 460-24A-050Registration and examination requirements 460-24A-055Effective date of registration 460-24A-057Renewal of investment adviser and investment adviser representative registration—Delinquency fees 460-24A-059Pending application—Notice of termination—Application for continuation 460-24A-060Financial reporting requirements for investment advisers 460-24A-070Notice filing requirements for federal covered advisers 460-24A-071Registration exemption for investment advisers to private funds 460-24A-072Registration exemption for investment advisers to venture capital funds 460-24A-080Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status 460-24A-100Advertisements and written client communications by investment advisers 460-24A-105Requirements for an investment adviser that has custody or possession of client funds or securities 460-24A-106Additional custody requirements for an investment adviser that directly deducts fees from client accounts 460-24A-107Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust 460-24A-108Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust 460-24A-109Exceptions from custody requirements 460-24A-110Agency cross transactions 460-24A-120Compliance procedures and practices 460-24A-122Material nonpublic information policies and procedures 460-24A-125Proxy voting 460-24A-126Business continuity and succession plan 460-24A-130Contents of investment advisory contract 460-24A-135Dissemination of advisory fee billing information for advisers who do not directly deduct fees 460-24A-140Guarantees of success are prohibited 460-24A-145Investment adviser brochure rule 460-24A-150Performance compensation arrangements 460-24A-160Restrictions on advertising refunds 460-24A-170Minimum net worth requirements for investment advisers 460-24A-190Training regarding vulnerable adults 460-24A-200Books and records to be maintained by investment advisers 460-24A-205Notice of changes by investment advisers and investment adviser representatives 460-24A-210Notice of complaint must be filed with director 460-24A-220Unethical business practices—Investment advisers and federal covered advisers