reglab/housing_qa huggingface dataset:
WA Rev Code § 21.30.107 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.107 - Subpoena authority—Application—Contents—Notice—Fees.

RCW 21.30.107 Subpoena authority—Application—Contents—Notice—Fees.(1) The director or authorized assistants may apply for and obtain a superior court order approving and authorizing a subpoena in advance of its issuance. The application may be made in the county where the subpoenaed person resides or is found, or the county where the subpoenaed documents, records, or evidence are located, or in Thurston county. The application must:(a) State that an order is sought under this section;(b) Adequately specify the documents, records, evidence, or testimony; and(c) Include a declaration made under oath that an investigation is being conducted for a lawfully authorized purpose related to an investigation within the department's authority and that the subpoenaed documents, records, evidence, or testimony are reasonably related to an investigation within the department's authority.(2) When an application under this section is made to the satisfaction of the court, the court must issue an order approving the subpoena. An order under this subsection constitutes authority of law for the agency to subpoena the documents, records, evidence, or testimony.(3) The director or authorized assistants may seek approval and a court may issue an order under this section without prior notice to any person, including the person to whom the subpoena is directed and the person who is the subject of an investigation. An application for court approval is subject to the fee and process set forth in RCW 36.18.012(3).[ 2011 c 93 § 8.]NOTES:Finding—Intent—2011 c 93: See note following RCW 18.44.425.
WA Rev Code § 21.30.110 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.110 - Investigations—Evidence—Subpoenas—Court orders of compliance.

RCW 21.30.110 Investigations—Evidence—Subpoenas—Court orders of compliance.(1) For purposes of any investigation or proceeding under this chapter, the director or any officer or employee designated by the director, may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the director finds to be relevant or material to the inquiry.(2) If a person does not give testimony or produce the documents required by the director or a designated employee pursuant to a lawfully issued administrative subpoena, the director or designated employee may apply for a court order compelling compliance with the subpoena or the giving of the required testimony. The request for an order of compliance may be addressed to either: (a) The superior court of Thurston county or the superior court where service may be obtained on the person refusing to testify or produce, if the person is within this state; or (b) the appropriate court of the state having jurisdiction over the person refusing to testify or produce, if the person is outside the state.[ 1986 c 14 § 11.]
WA Rev Code § 21.30.120 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.120 - Violations—Director's authority—Court actions—Penalties.

RCW 21.30.120 Violations—Director's authority—Court actions—Penalties.(1) If the director believes, whether or not based upon an investigation conducted under RCW 21.30.100 or 21.30.110, that a person has engaged or is about to engage in an act or practice constituting a violation of this chapter or any rule or order hereunder, the director may:(a) Issue a cease and desist order;(b) Initiate any of the actions specified in subsection (2) of this section;(c) Issue an order imposing 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; or(d) Take disciplinary action against a licensed person as specified in RCW 21.30.350.(2) The director may institute any of the following actions in the appropriate courts of the state, or in the appropriate courts of another state, in addition to any legal or equitable remedies otherwise available:(a) A declaratory judgment;(b) An action for a prohibitory or mandatory injunction to enjoin the violation and to ensure compliance with this chapter or any rule or order of the director;(c) An action for disgorgement; or(d) An action for appointment of a receiver or conservator for the defendant or the defendant's assets.(3) In any action under subsection (2) of this section if the director prevails, the director shall be entitled to costs and to reasonable attorneys' fees to be fixed by the court.[ 1986 c 14 § 12.]
WA Rev Code § 21.30.130 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.130 - Violations—Court-ordered remedies—Penalties—Bond by director not required.

RCW 21.30.130 Violations—Court-ordered remedies—Penalties—Bond by director not required.(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.[ 1986 c 14 § 13.]
WA Rev Code § 21.30.140 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.140 - Willful violations—Penalty—Limitation on actions.

RCW 21.30.140 Willful violations—Penalty—Limitation on actions.A person who willfully violates this chapter, or who willfully violates a rule or order under this chapter, is guilty of a class B felony and shall upon conviction be fined not more than twenty thousand dollars or imprisoned not more than ten years, or both. However, no person may be imprisoned for the violation of a rule or order if the person proves that he or she had no knowledge of the rule or order. No indictment or information may be returned under this chapter more than five years after the alleged violation.[ 2003 c 53 § 164; 1986 c 14 § 14.]NOTES:Intent—Effective date—2003 c 53: See notes following RCW 2.48.180.
WA Rev Code § 21.30.150 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.150 - No liability under chapter for act in good faith.

RCW 21.30.150 No liability under chapter for act in good faith.No provision of this chapter imposing any liability applies to any act done or omitted in good faith in conformity with a rule, order, or form adopted by the director, notwithstanding that the rule, order, or form may later be amended, or rescinded, or be determined by judicial or other authority to be invalid for any reason.[ 1986 c 14 § 15.]
WA Rev Code § 21.30.160 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.160 - Unlawful use or disclosure of information.

RCW 21.30.160 Unlawful use or disclosure of information.Neither the director nor any employee of the director shall use any information which is filed with or obtained by the department which is not public information for personal gain or benefit, nor shall the director nor any employee of the director conduct any securities or commodity dealings whatsoever based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate the information.[ 1986 c 14 § 17.]
WA Rev Code § 21.30.170 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.170 - Information—Availability to public—Exceptions.

RCW 21.30.170 Information—Availability to public—Exceptions.(1) All information collected, assembled, or maintained by the director under this chapter is public information and is available for the examination of the public as provided by chapter 42.56 RCW except the following:(a) Information obtained in private investigations pursuant to RCW 21.30.100 or 21.30.110;(b) Information exempt from public disclosure under chapter 42.56 RCW; and(c) Information obtained from federal or state agencies which may not be disclosed under federal or state law.(2) The director in the director's discretion may disclose any information made confidential under subsection (1)(a) of this section to persons identified in RCW 21.30.180.(3) No provision of this chapter either creates or derogates from any privilege which exists at common law, by statute, or otherwise when any documentary or other evidence is sought under subpoena directed to the director or any employee of the director.[ 2005 c 274 § 239; 1986 c 14 § 18.]
WA Rev Code § 21.30.180 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.180 - Cooperation with other agencies or organizations.

RCW 21.30.180 Cooperation with other agencies or organizations.(1) To encourage uniform application and interpretation of this chapter and securities and commodities regulation and enforcement in general, the director and the employees of the director may cooperate, including bearing the expense of the cooperation, with the securities agencies or administrators of another jurisdiction, Canadian provinces, or territories or such other agencies administering this chapter or similar statutes, the commodity futures trading commission, the federal securities and exchange commission, any self-regulatory organization established under the commodity exchange act or the securities exchange act of 1934, any national or international organization of commodities or securities officials or agencies, and any governmental law enforcement agency.(2) The cooperation authorized by subsection (1) of this section shall include, but need not be limited to, the following:(a) Making joint examinations or investigations;(b) Holding joint administrative hearings;(c) Filing and prosecuting joint litigation;(d) Sharing and exchanging information and documents;(e) Formulating and adopting mutual regulations, statements of policy, guidelines, proposed statutory changes and releases; and(f) Issuing and enforcing subpoenas at the request of the agency administering similar statutes in another jurisdiction, the securities agency of another jurisdiction, the commodity futures trading commission or the federal securities and exchange commission if the information sought would also be subject to lawful subpoena for conduct occurring in this state.[ 1986 c 14 § 19.]
WA Rev Code § 21.30.190 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.190 - Consent for service of process—Service, how made.

RCW 21.30.190 Consent for service of process—Service, how made.(1) Every applicant for registration under this chapter or person filing a claim of exemption under RCW 21.30.030(7) shall file with the administrator in such form as the administrator by rule prescribes, an irrevocable consent appointing the administrator or successor in office to be his or her attorney to receive service of any lawful process in any noncriminal suit, action, or proceeding against the applicant or successor executor or administrator which arises under this chapter or any rule or order hereunder after the consent has been filed, with the same force and validity as if served personally on the person filing the consent. Service may be made by leaving a copy of the process in the office of the administrator, but it is not effective unless (a) the plaintiff, who may be the administrator in a suit, action, or proceeding instituted by the administrator, forthwith sends notice of the service and a copy of the process by registered mail to the defendant or respondent at the last address on file with the administrator, and (b) the plaintiff's affidavit of compliance with this subsection is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.(2) If a person, including a nonresident of this state, engages in conduct prohibited or made actionable by this chapter or any rule or order of the director, the engaging in the conduct shall constitute the appointment of the administrator as the person's attorney to receive service of any lawful process in a noncriminal proceeding against the person, a successor, or personal representative, which arises out of that conduct and which is brought under this chapter or any rule or order of the director with the same force and validity as if served personally.[ 1987 c 243 § 5; 1986 c 14 § 20.]
WA Rev Code § 21.30.200 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.200 - Administrative proceedings—Summary order—Notice—Hearing—Final order.

RCW 21.30.200 Administrative proceedings—Summary order—Notice—Hearing—Final order.(1) The director shall commence an administrative proceeding under this chapter by entering either a statement of charges or a summary order. The statement of charges or summary order may be entered without notice, without opportunity for hearing, and need not be supported by findings of fact or conclusions of law, but must be in writing.(2) Upon entry of the statement of charges or summary order, the director shall promptly inform all interested parties that they have twenty business days from receipt of notice of the statement of charges or the summary order to file a written request for a hearing on the matter with the director and that the hearing will be scheduled to commence within thirty business days after receipt of the written request.(3) If no hearing is requested within the twenty-day period and none is ordered by the director, the statement of charges or summary order will automatically become a final order.(4) If a hearing is requested or ordered, the director, after notice of and opportunity for hearing to all interested persons, may modify or vacate the order or extend it until final determination.(5) No final order or order after hearing may be returned without:(a) Appropriate notice to all interested persons;(b) Opportunity for hearing by all interested persons; and(c) Entry of written findings of fact and conclusions of law.(6) Every hearing in an administrative proceeding under this chapter shall be public unless the director grants a request joined in by all the respondents that the hearing be conducted privately.[ 1986 c 14 § 21.]
WA Rev Code § 21.30.210 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.210 - Application of chapter 34.05 RCW, the administrative procedure act.

RCW 21.30.210 Application of chapter 34.05 RCW, the administrative procedure act.Chapter 34.05 RCW applies to an administrative proceeding carried out by the director under this chapter unless otherwise provided in this chapter.[ 1986 c 14 § 22.]
WA Rev Code § 21.30.220 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.220 - Pleading exemptions or exceptions—Burden of proof.

RCW 21.30.220 Pleading exemptions or exceptions—Burden of proof.It shall not be necessary to negate any of the exemptions, or exceptions from a definition, of this chapter in any complaint, information, or indictment, or any writ or proceeding brought under this chapter; and the burden of proof of any such exemption or exception from a definition shall be on the party claiming the same.[ 1986 c 14 § 23.]
WA Rev Code § 21.30.230 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.230 - Application for licensing.

RCW 21.30.230 Application for licensing.An applicant for licensing as a commodity broker-dealer or commodity sales representative shall file with the administrator or the designee of the administrator an application for licensing together with a consent to service of process pursuant to RCW 21.30.190. The application for licensing must contain the information that the administrator determines, by rule, is necessary or appropriate to facilitate the administration of this chapter.[ 1986 c 14 § 24.]
WA Rev Code § 21.30.240 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.240 - Fees.

RCW 21.30.240 Fees.(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.[ 1986 c 14 § 25.]
WA Rev Code § 21.30.250 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.250 - Examinations—Waiver.

RCW 21.30.250 Examinations—Waiver.(1) The administrator may, by rule or order, impose an examination requirement upon:(a) An applicant applying for licensing under this chapter; and(b) Any class of applicants.(2) Any examination required may be administered by the administrator or a designee of the administrator. Examinations may be oral, written, or both and may differ for each class of applicants.(3) The administrator may, by order, waive any examination requirement imposed pursuant to subsection (1) of this section as to any applicant if the administrator determines that the examination is not necessary in the public interest and for the protection of investors.[ 1986 c 14 § 26.]
WA Rev Code § 21.30.260 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.260 - Expiration of licenses—Authority under commodity sales representative license—Notification of changes.

RCW 21.30.260 Expiration of licenses—Authority under commodity sales representative license—Notification of changes.(1) The license of a commodity broker-dealer or commodity sales representative expires on December 31 of the year for which issued or at such other time as the administrator may by rule prescribe.(2) The license of a commodity sales representative is only effective with respect to transactions effected as an employee or representative on behalf of the commodity broker-dealer or issuer for whom the commodity sales representative is licensed.(3) When a commodity sales representative begins or terminates association with a commodity broker-dealer or issuer, or begins or terminates activities which make that person a commodity sales representative, the commodity sales representative and the former commodity broker-dealer or issuer on whose behalf the commodity sales representative was acting shall notify promptly the administrator or the administrator's designee.[ 1986 c 14 § 27.]
WA Rev Code § 21.30.270 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.270 - Multiple licenses, when permitted.

RCW 21.30.270 Multiple licenses, when permitted.No person may at any one time act as a commodity sales representative for more than one commodity broker-dealer or one issuer, except (1) where the commodity broker-dealers for whom the commodity sales representative will act are affiliated by direct or indirect common control, a commodity sales representative may represent each of those organizations or (2) where the administrator, by rule or order, authorizes multiple licenses as consistent with the public interest and protection of investors.[ 1986 c 14 § 28.]
WA Rev Code § 21.30.280 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.280 - Classification of licenses—Limitations and conditions of licenses.

RCW 21.30.280 Classification of licenses—Limitations and conditions of licenses.If the administrator determines, by rule, that one or more classifications of licenses as a commodity broker-dealer or commodity sales representative which are subject to limitations and conditions on the nature of the activities which may be conducted by those persons are consistent with the public interest and the protection of investors, the administrator may authorize the licensing of persons subject to specific limitations and conditions.[ 1986 c 14 § 29.]
WA Rev Code § 21.30.290 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.290 - Annual report and fee.

RCW 21.30.290 Annual report and fee.For so long as a commodity broker-dealer or commodity sales representative is licensed under this chapter, it shall file an annual report, together with the annual fee specified in RCW 21.30.240(2), with the administrator or the administrator's designee at a time and including that information that the administrator determines, by rule or order, is necessary or appropriate.[ 1986 c 14 § 30.]
WA Rev Code § 21.30.300 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.30 - Commodity Transactions.|21.30.300 - Minimum net capital and fidelity bond requirements.

RCW 21.30.300 Minimum net capital and fidelity bond requirements.(1)(a) The administrator may, by rule, require a licensed commodity broker-dealer to maintain: (i) Minimum net capital; and (ii) a prescribed ratio between net capital and aggregate indebtedness. The minimum net capital and net capital-to-aggregate indebtedness ratio may vary with type or class of commodity broker-dealer.(b) If a licensed commodity broker-dealer believes, or has reasonable cause to believe, that any requirement imposed on it under this subsection is not being met, it shall promptly notify the administrator of its current financial condition.(2) The administrator may, by rule, require the furnishing of fidelity bonds from commodity broker-dealers.[ 1986 c 14 § 31.]