RCW 21.30.130 — Washington Code / Title 21 / Chapter 30 / Section 130
RCW 21.30.130: Violations—Court-ordered remedies—Penalties—Bond by director not required.
Status: in_force

(1)(a) Upon a proper showing by the director that a person has violated, or is about to violate, this chapter or any rule or order of the department, the superior court may grant appropriate legal or equitable remedies. (b) Upon showing of violation of this chapter or a rule or order of the director or administrator, the court, in addition to legal and equitable remedies otherwise available, including temporary restraining orders, permanent or temporary prohibitory or mandatory injunctions, and writs of prohibition or mandamus, may grant the following special remedies: (i) Imposition of a civil penalty in an amount which may not exceed ten thousand dollars for any single violation or one hundred thousand dollars for multiple violations in a single proceeding or a series of related proceedings; (ii) Disgorgement; (iii) Declaratory judgment; (iv) Restitution to investors wishing restitution; and (v) Appointment of a receiver or conservator for the defendant or the defendant's assets. (c) Appropriate remedies when the defendant is shown only about to violate this chapter or a rule or order of the department shall be limited to: (i) A temporary restraining order; (ii) A temporary or permanent injunction; or (iii) A writ of prohibition or mandamus. (2) The court shall not require the director to post a bond in any official action under this chapter.
RCW 21.20.190 — Washington Code / Title 21 / Chapter 20 / Section 190
RCW 21.20.190: Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification.
Status: in_force

A registration statement by coordination under RCW 21.20.180 automatically becomes effective at the moment the federal registration statement or other filing becomes effective if all the following conditions are satisfied: (1) No stop order is in effect and no proceeding is pending under RCW 21.20.280 and 21.20.300 ; (2) The registration statement has been on file with the director for at least ten full business days; and (3) A statement of the maximum and minimum proposed offering prices and the maximum underwriting discounts and commissions has been on file for two full business days or such shorter period as the director permits by rule or otherwise and the offering is made within those limitations. The registrant shall promptly notify the director or such person as the director may by rule or order designate by facsimile, electronic transmission, or telegram of the date and time when the federal registration statement or other filing became effective and the content of the price amendment, if any, and shall promptly file a post-effective amendment containing the information and documents in the price amendment. "Price amendment" means the final federal amendment which includes a statement of the offering price, underwriting and selling discounts or commissions, amount of proceeds, conversion rates, call prices, and other matters dependent upon the offering price.
RCW 21.20.327 — Washington Code / Title 21 / Chapter 20 / Section 327
RCW 21.20.327: Required filings—Consent to service—Failure to comply—Rules—Fees.
Status: in_force

(1) The director, by rule or otherwise, may require the filing of any or all of the following documents and the payment of the following fees with respect to a federal covered security under section 18(b)(2) of the Securities Act of 1933: (a) Prior to the initial offer of such a federal covered security in this state, all documents that are part of the current federal registration statement filed with the U.S. securities and exchange commission under the Securities Act of 1933, together with a consent to service of process signed by the issuer and the fee prescribed by RCW 21.20.340 ; (b) After the initial offer of such a federal covered security in this state, all documents that are part of an amendment to a current federal registration statement filed with the U.S. securities and exchange commission under the Securities Act of 1933 and all fees prescribed by RCW 21.20.340 ; and (c) An annual or periodic report of the value of such federal covered securities offered in this state, together with the fee prescribed by RCW 21.20.340 . (2) With respect to any security that is a federal covered security under section 18(b)(4)(D) of the Securities Act of 1933, the director, by rule or otherwise, may require the issuer to file a notice on SEC Form D, together with a consent to service of process signed by the issuer and the fee prescribed pursuant to RCW 21.20.340 , no later than fifteen days after the first sale of such a federal covered security in this state. (3) The director, by rule or otherwise, may require the filing of any document filed with the U.S. securities and exchange commission under the Securities Act of 1933, with respect to a federal covered security under section 18(b)(3) or (4) of the Securities Act of 1933 and/or the payment of the fee prescribed pursuant to RCW 21.20.340 . (4) The director may issue a stop order suspending the offer and sale of a federal covered security, except a federal covered security under section 18(b)(1) of the Securities Act of 1933, if the director finds that there is a failure to comply with any requirement established under this section. (5) The director, by rule or otherwise, may waive any or all of the provisions of this section.
RCW 21.20.435 — Washington Code / Title 21 / Chapter 20 / Section 435
RCW 21.20.435: Assurance of discontinuance of violations—Acceptance—Filing.
Status: in_force

In the enforcement of this chapter, the director may accept an assurance of discontinuance of violations of the provisions of this chapter from any person deemed by the director to be in violation hereof. Any such assurance shall be in writing, may state that the person giving such assurance does not admit to any violation of this chapter, and shall be filed with and subject to the approval of the superior court of the county in which the alleged violator resides or has his or her principal place of business, or in Thurston county. Proof of failure to comply with the assurance of discontinuance shall be prima facie evidence of a violation of this chapter.
RCW 21.30.240 — Washington Code / Title 21 / Chapter 30 / Section 240
RCW 21.30.240: Fees.
Status: in_force

(1) An applicant for licensing shall pay a registration fee as follows: (a) For a commodity broker-dealer, two hundred dollars; and for each branch office, one hundred dollars; and (b) For a commodity sales representative, fifty dollars. (2) Except in any year in which a licensing fee is paid, an applicant shall pay an annual fee as follows: (a) For a commodity broker-dealer, one hundred dollars; and for each branch office in this state, fifty dollars; and (b) For a commodity sales representative, thirty-five dollars. (3) For purposes of this section, a branch office means each office of a commodity broker-dealer in this state, other than the principal office in this state of the commodity broker-dealer, from which three or more commodity sales representatives transact business. (4) If an application is denied or withdrawn or the license is terminated by revocation, cancellation, or withdrawal, the administrator shall retain the fee paid.
RCW 21.20.290 — Washington Code / Title 21 / Chapter 20 / Section 290
RCW 21.20.290: Stop order prohibited if facts known on effective date of statement.
Status: in_force

The director may not enter a stop order against an effective registration statement on the basis of a fact or transaction known to the director when the registration statement became effective.
RCW 21.35.030 — Washington Code / Title 21 / Chapter 35 / Section 030
RCW 21.35.030: Designation of a TOD or POD beneficiary—Effect on ownership—Cancellation or change.
Status: in_force

The designation of a TOD or POD beneficiary on a registration in beneficiary form has no effect on ownership of the security until the owner's death, or on community property rights and obligations of owners. A registration of a security in beneficiary form may be canceled or changed at any time by the sole owner or all then surviving owners, without the consent of the beneficiary.
RCW 21.35.010 — Washington Code / Title 21 / Chapter 35 / Section 010
RCW 21.35.010: Security registered in beneficiary form—Ownership.
Status: in_force

Only individuals whose registration of a security shows sole ownership by one individual or multiple ownership by two or more with right of survivorship, rather than as tenants in common, may obtain registration in beneficiary form. Multiple owners of a security registered in beneficiary form shall hold the security as joint tenants with right of survivorship either as separate property or as community property, and not as tenants in common.
RCW 21.20.030 — Washington Code / Title 21 / Chapter 20 / Section 030
RCW 21.20.030: Unlawful acts of investment adviser.
Status: in_force

It is unlawful for any investment adviser to enter into, extend, or renew any investment advisory contract unless it provides in writing: (1) That the investment adviser shall not be compensated on the basis of a share of capital gains upon or capital appreciation of the funds or any portion of the funds of the client; however, this subsection does not prohibit: (a) An investment advisory contract which provides for compensation based upon the total of a fund averaged over a definite period, or as of definite dates or taken as of a definite date; or (b) performance compensation arrangements permitted under any rule the director may adopt in order to allow performance compensation arrangements permitted under the Investment Advisers Act of 1940 and regulations promulgated by the securities and exchange commission thereunder; (2) That no assignment of the contract may be made by the investment adviser without the consent of the other party to the contract; and (3) That the investment adviser, if a partnership, shall notify the other party to the contract of any change in the membership of the partnership within a reasonable time after the change. "Assignment", as used in subsection (2) of this section, includes any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor or of a controlling block of the assignor's outstanding voting securities by a security holder of the assignor; but, if the investment adviser is a partnership, no assignment of an investment advisory contract is considered to result from the death or withdrawal of a minority of the members of the investment adviser having only a minority interest in the business of the investment adviser, or from the admission to the investment adviser of one or more members who, after admission, will be only a minority of the members and will have only a minority interest in the business.
RCW 21.20.275 — Washington Code / Title 21 / Chapter 20 / Section 275
RCW 21.20.275: Pending registration—Notice of termination—Application for continuation.
Status: in_force

The director may in his or her discretion send notice to the applicant in any pending registration in which no action has been taken for nine months immediately prior to the sending of such notice, advising such applicant that the pending registration will be terminated thirty days from the date of sending unless on or before the termination date the applicant makes application in writing to the director showing good cause why it should be continued as a pending registration. If such application is not made or good cause shown, the director shall terminate the pending registration.
RCW 21.20.300 — Washington Code / Title 21 / Chapter 20 / Section 300
RCW 21.20.300: Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.
Status: in_force

Upon the entry of a stop order under any part of RCW 21.20.280 , the director shall promptly notify the issuer of the securities and the applicant or registrant that the order has been entered and of the reasons therefor and that within twenty days after the receipt of a written request the matter will be set down for hearing. If no hearing is requested within twenty days and none is ordered by the director, the director shall enter written findings of fact and conclusions of law and the order will remain in effect until it is modified or vacated by the director. If a hearing is requested or ordered, the director, after notice of and opportunity for hearings to the issuer and to the applicant or registrant, shall enter written findings of fact and conclusions of law and may modify or vacate the order. The director may modify or vacate a stop order if the director finds that the conditions which prompted its entry have changed or that it is otherwise in the public interest to do so.
RCW 21.30.070 — Washington Code / Title 21 / Chapter 30 / Section 070
RCW 21.30.070: Responsibility for acts or omissions—Liability—Burden of proof.
Status: in_force

(1) The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of the person's employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person. (2) Every person who directly or indirectly controls another person liable under any provision of this chapter, every partner, officer, or director of such other person, every person occupying a similar status or performing similar functions, every employee of such other person who materially aids in the violation is also liable jointly and severally with and to the same extent as such other person, unless the person who is also liable by virtue of this provision sustains the burden of proof that he or she did not know, and in exercise of reasonable care could not have known, of the existence of the facts by reason of which the liability is alleged to exist.
RCW 21.20.360 — Washington Code / Title 21 / Chapter 20 / Section 360
RCW 21.20.360: Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations.
Status: in_force

Neither the fact that an application for registration under RCW 21.20.050 , a registration statement under RCW 21.20.180 or 21.20.210 has been filed, nor the fact that a person or security is effectively registered, constitutes a finding by the director that any document filed under this chapter is true, complete, and not misleading. Neither any such fact nor the fact that an exemption or exception is available for a security or a transaction means that the director has passed in any way upon the merits or qualifications of, or recommended or given approval to, any person, security, or transaction. It is unlawful to make, or cause to be made, to any prospective purchaser, customer, or client any representation inconsistent with this section.
RCW 21.40.010 — Washington Code / Title 21 / Chapter 40 / Section 010
RCW 21.40.010: Rules and regulations.
Status: in_force

The securities administrator may adopt such rules and regulations as may be necessary or appropriate to implement the provisions of this chapter consistent with its purpose.
RCW 21.40.060 — Washington Code / Title 21 / Chapter 40 / Section 060
RCW 21.40.060: Payment from securities prosecution fund.
Status: in_force

Any whistleblower awards paid under this chapter shall be paid from the securities prosecution fund established in RCW 43.320.115 .
RCW 21.30.310 — Washington Code / Title 21 / Chapter 30 / Section 310
RCW 21.30.310: Financial and other reports.
Status: in_force

A licensed commodity broker-dealer shall file financial and other reports that the administrator determines, by rule, are necessary or appropriate.
RCW 21.20.395 — Washington Code / Title 21 / Chapter 20 / Section 395
RCW 21.20.395: Administrative action—Hearing—Judicial review—Judgment.
Status: in_force

(1) A person who, in an administrative action by the director, is found to have knowingly or recklessly violated any provision of this chapter, or any rule or order under this chapter, may be fined, after notice and opportunity for hearing, in an amount not to exceed ten thousand dollars for each violation. (2) A person who, in an administrative action by the director, is found to have knowingly or recklessly violated an administrative order issued under RCW 21.20.110 or 21.20.390 shall pay an administrative fine in an amount not to exceed twenty-five thousand dollars for each violation. (3) The fines paid under subsections (1) and (2) of this section shall be deposited into the securities prosecution fund. (4) If a petition for judicial review has not been timely filed under RCW 34.05.542 (2), a certified copy of the director's order requiring payment of the fine may be filed in the office of the clerk of the superior court in any county of this state. The clerk shall treat the order of the director in the same manner as a judgment of the superior court. The director's order so filed has the same effect as a judgment of the superior court and may be recorded, enforced, or satisfied in like manner.
RCW 21.20.910 — Washington Code / Title 21 / Chapter 20 / Section 910
RCW 21.20.910: Saving—Civil, criminal proceedings.
Status: in_force

Prior law exclusively governs all suits, actions, prosecutions, or proceedings which are pending or may be initiated on the basis of facts or circumstances occurring before the effective date of this chapter, except that no civil suit or action may be maintained to enforce any liability under prior law unless brought within any period of limitation which applied when the cause of action accrued and in any event within two years after the *effective date of this chapter.
RCW 21.30.020 — Washington Code / Title 21 / Chapter 30 / Section 020
RCW 21.30.020: Transactions involving commodity contract or option—Prohibition—Exceptions.
Status: in_force

Except as otherwise provided in RCW 21.30.030 and 21.30.040 , no person may sell or purchase or offer to sell or purchase any commodity under any commodity contract or under any commodity option or offer to enter into or enter into as seller or purchaser any commodity contract or any commodity option.
RCW 21.20.200 — Washington Code / Title 21 / Chapter 20 / Section 200
RCW 21.20.200: Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions.
Status: in_force

Upon failure to receive the required notification and post-effective amendment with respect to the price amendment referred to in RCW 21.20.190 , the director may enter a stop order, without notice of hearing, retroactively denying effectiveness to the registration statement or suspending its effectiveness until compliance with RCW 21.20.190 , if the director promptly notified the registrant by telephone, facsimile, or electronic transmission (and promptly confirms by letter or facsimile when the director notifies by telephone) of the issuance of the order. If the registrant proves compliance with the requirements as to notice and post-effective amendment, the stop order is void as of the time of its entry. The director may by rule or otherwise waive either or both of the conditions specified in RCW 21.20.190 (2) and (3). If the federal registration statement or other filing becomes effective before all these conditions are satisfied and they are not waived, the registration statement automatically becomes effective as soon as all the conditions are satisfied. If the registrant advises the director of the date when the federal registration statement or other filing is expected to become effective the director shall promptly advise the registrant by telephone, electronic transmission, or facsimile, at the registrant's expense, whether all the conditions are satisfied and whether the director then contemplates the institution of a proceeding under RCW 21.20.280 and 21.20.300 ; but this advice by the director does not preclude the institution of such a proceeding at any time.
RCW 21.20.520 — Washington Code / Title 21 / Chapter 20 / Section 520
RCW 21.20.520: Copies of entries, documents to be furnished—Copies as prima facie evidence.
Status: in_force

Upon request and at such reasonable charges as the director prescribes, the director shall furnish to any person photostatic or other copies (certified under his or her seal of office if requested) of any entry in the register or any document which is a matter of public record. In any proceeding or prosecution under this chapter, any copy so certified is prima facie evidence of the contents of the entry or document certified.
RCW 21.30.380 — Washington Code / Title 21 / Chapter 30 / Section 380
RCW 21.30.380: Administration of chapter under director of financial institutions.
Status: in_force

The administration of this chapter shall be under the director of the department of financial institutions.