reglab/housing_qa huggingface dataset:
WA Rev Code § 21.20.380 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.380 - Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.

RCW 21.20.380 Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.(1) For the purpose of any investigation or proceeding under this chapter, the director or any officer 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 deems relevant or material to the inquiry.(2) If the activities constituting an alleged violation for which the information is sought would be a violation of this chapter had the activities occurred in this state, the director may issue and apply to enforce subpoenas in this state at the request of a securities agency or administrator of another state.(3) A subpoena issued to a financial institution under this section may, if the director finds it necessary or appropriate in the public interest or for the protection of investors, include a directive that the financial institution subpoenaed shall not disclose to third parties that are not affiliated with the financial institution, other than to the institution's legal counsel, the existence or content of the subpoena.(4) In case of disobedience on the part of any person to comply with any subpoena lawfully issued by the director, the refusal of any witness to testify to any matters regarding which the witness may be lawfully interrogated, or the failure to comply with a nondisclosure directive under subsection (3) of this section, a court of competent jurisdiction of any county or the judge thereof, on application of the director, and after satisfactory evidence of willful disobedience, may compel obedience by proceedings for contempt, as in the case of disobedience of the requirements of a subpoena issued from such a court on a refusal to testify therein.[ 2002 c 65 § 7; 1995 c 46 § 6; 1994 c 256 § 22; 1979 ex.s. c 68 § 26; 1975 1st ex.s. c 84 § 22; 1974 ex.s. c 77 § 9; 1959 c 282 § 38.]NOTES:Findings—Construction—1994 c 256: See RCW 43.320.007.Effective date—1974 ex.s. c 77: See note following RCW 21.20.040.
WA Rev Code § 21.20.395 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.395 - Administrative action—Hearing—Judicial review—Judgment.

RCW 21.20.395 Administrative action—Hearing—Judicial review—Judgment.(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.[ 2003 c 288 § 6; 1998 c 15 § 18.]
WA Rev Code § 21.20.400 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.400 - Penalty for violation of chapter—Limitation of actions.

RCW 21.20.400 Penalty for violation of chapter—Limitation of actions.(1) Any person who willfully violates any provision of this chapter except RCW 21.20.350, or who willfully violates any rule or order under this chapter, or who willfully violates RCW 21.20.350 knowing the statement made to be false or misleading in any material respect, is guilty of a class B felony punishable under RCW 9A.20.021(1)(b). However, a person may not be imprisoned for the violation of any rule or order if that person proves that he or she had no knowledge of the rule or order.(2) Any person who knowingly alters, destroys, shreds, mutilates, or conceals a record, document, or other object, or attempts to do so, with the intent to impair the object's integrity or availability for use in an official proceeding under this chapter, is guilty of a class B felony punishable under RCW 9A.20.021(1)(b) or punishable by a fine of not more than five hundred thousand dollars, or both. The fines paid under this subsection shall be deposited into the securities prosecution fund.(3) No indictment or information may be returned under this chapter more than (a) five years after the violation, or (b) three years after the actual discovery of the violation, whichever date of limitation is later.[ 2016 c 61 § 13. Prior: 2003 c 288 § 3; 2003 c 53 § 163; 1979 ex.s. c 68 § 28; 1965 c 17 § 5; 1959 c 282 § 40.]NOTES:Intent—Effective date—2003 c 53: See notes following RCW 2.48.180.
WA Rev Code § 21.20.410 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.410 - Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.

RCW 21.20.410 Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.(1) The director may refer such evidence as may be available concerning violations of this chapter or of any rule or order hereunder to the attorney general or the proper prosecuting attorney, who may in his or her discretion, with or without such a reference, institute the appropriate criminal proceedings under this chapter.(2) The director may render such assistance as the prosecuting attorney requests regarding a reference.[ 1998 c 15 § 19; 1979 ex.s. c 68 § 29; 1959 c 282 § 41.]
WA Rev Code § 21.20.420 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.420 - Criminal punishment, chapter not exclusive.

RCW 21.20.420 Criminal punishment, chapter not exclusive.Nothing in this chapter limits the power of the state to punish any person for any conduct which constitutes a crime by statute or at common law.[ 1959 c 282 § 42.]
WA Rev Code § 21.20.435 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.435 - Assurance of discontinuance of violations—Acceptance—Filing.

RCW 21.20.435 Assurance of discontinuance of violations—Acceptance—Filing.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.[ 1979 ex.s. c 68 § 31; 1974 ex.s. c 77 § 13.]NOTES:Effective date—1974 ex.s. c 77: See note following RCW 21.20.040.
WA Rev Code § 21.20.440 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.440 - Judicial review of order—Modification of order by director on additional evidence.

RCW 21.20.440 Judicial review of order—Modification of order by director on additional evidence.Any person aggrieved by a final order of the director may obtain a review of the order in the county in which that person resides or in any other court of competent jurisdiction by filing in court, within sixty days after the entry of the order, a written petition praying that the order be modified or set aside in whole or in part. A copy of the petition shall be forthwith served upon the director, and thereupon the director shall certify and file in court a copy of the filing, testimony, and other evidence upon which the order was entered. When these have been filed, the court has exclusive jurisdiction to affirm, modify, enforce, or set aside the order, in whole or in part. No objection to the order may be considered by the court unless it was urged before the director or there were reasonable grounds for failure to do so. The findings of the director as to the facts, if supported by substantial evidence, are conclusive. If either party applies to the court for leave to adduce additional evidence, and shows to the satisfaction of the court that the additional evidence is material and that there were reasonable grounds for failure to adduce the evidence in the hearing before the director, the court may order the additional evidence to be taken before the director and to be adduced upon the hearing in such manner and upon such conditions as the court may consider proper. The director may modify his or her findings by reason of the additional evidence so taken; and the director shall file any modified or new findings, which if supported by substantial evidence shall be conclusive, and any recommendation for the modification or setting aside of the original order. The commencement of proceedings under this section does not, unless specifically ordered by the court, operate as a stay of the director's order.[ 1979 ex.s. c 68 § 32; 1959 c 282 § 44.]
WA Rev Code § 21.20.450 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.450 - Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.

RCW 21.20.450 Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.(1) The administration of the provisions of this chapter shall be under the department of financial institutions. The director may from time to time make, amend, and repeal such rules, forms, and orders as are necessary to carry out the provisions of this chapter, including rules defining any term, whether or not such term is used in the Washington securities law. The director may classify securities, persons, and matters within the director's jurisdiction, and prescribe different requirements for different classes. No rule, form, or order may be made unless the director finds that the action is necessary or appropriate in the public interest or for the protection of investors and consistent with the purposes fairly intended by the policy and provisions of this chapter. In prescribing rules and forms the director may cooperate with the securities administrators of the other states and the securities and exchange commission with a view to effectuating the policy of this statute to achieve maximum uniformity in the form and content of registration statements, applications, and reports wherever practicable. All rules and forms of the director shall be published.(2) To encourage uniform interpretation and administration of this chapter and effective securities regulation and enforcement, the director may cooperate with the securities agencies or administrators of one or more states, Canadian provinces or territories, or another country, the securities and exchange commission, the commodity futures trading commission, the securities investor protection corporation, any self-regulatory organization, any national or international organization of securities officials or agencies, and any governmental law enforcement or regulatory agency.(3) The cooperation authorized by subsection (2) of this section includes:(a) Establishing a central depository for licensing or registration under this chapter and for documents or records required or allowed to be maintained under this chapter;(b) Making a joint license or registration examination or investigation;(c) Holding a joint administrative hearing;(d) Filing and prosecuting a joint civil or administrative hearing;(e) Sharing and exchanging personnel;(f) Sharing and exchanging information and documents; and(g) Formulating under chapter 34.05 RCW, rules or proposed rules on matters such as statements of policy, guidelines, and interpretative opinions and releases.[ 1994 c 256 § 24; 1993 c 472 § 15; 1979 ex.s. c 68 § 33; 1979 c 158 § 86; 1975 1st ex.s. c 84 § 25; 1959 c 282 § 45.]NOTES:Findings—Construction—1994 c 256: See RCW 43.320.007.Effective date—1993 c 472: See RCW 43.320.900.
WA Rev Code § 21.20.460 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.460 - Administrator of securities—Appointment, qualifications, term, etc.

RCW 21.20.460 Administrator of securities—Appointment, qualifications, term, etc.The director shall appoint a competent person to administer this chapter who shall be designated administrator of securities. The director shall delegate to the administrator such powers, subject to the authority of the director, as may be necessary to carry out the provisions of this chapter. The administrator shall hold office at the pleasure of the director.[ 1959 c 282 § 46.]
WA Rev Code § 21.20.470 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.470 - Compensation, travel expenses of administrator and employees.

RCW 21.20.470 Compensation, travel expenses of administrator and employees.The administrator, and any person employed by the administrator, shall be paid, in addition to regular compensation, travel expenses incurred by each of them in the performance of their duties under this chapter in accordance with RCW 43.03.050 and 43.03.060 as now existing or hereafter amended.[ 1979 ex.s. c 68 § 34; 1975-'76 2nd ex.s. c 34 § 64; 1959 c 282 § 47.]NOTES:Effective date—Severability—1975-'76 2nd ex.s. c 34: See notes following RCW 2.08.115.
WA Rev Code § 21.20.480 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.480 - Unlawful use or disclosure of filed information.

RCW 21.20.480 Unlawful use or disclosure of filed information.It is unlawful for the director or any of the director's officers or employees to use for personal benefit any information which is filed with or obtained by the director and which is not made public. The director or any of the director's officers or employees shall not disclose any such information or the fact that any investigation is being made except among themselves or when necessary or appropriate in a proceeding or investigation under this chapter. No provision of this chapter either creates or derogates from any privilege which exists at common law or otherwise when documentary or other evidence is sought under a subpoena directed to the director or any of the director's officers or employees.[ 1979 ex.s. c 68 § 35; 1959 c 282 § 48.]
WA Rev Code § 21.20.490 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.490 - No liability under chapter for act in good faith.

RCW 21.20.490 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 any rule, form, or order of the director, notwithstanding that the rule or form may later be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.[ 1959 c 282 § 49.]
WA Rev Code § 21.20.500 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.500 - Administrative hearings public—Exception.

RCW 21.20.500 Administrative hearings public—Exception.Every hearing in an administrative proceeding shall be public unless the director in his or her discretion grants a request joined in by all the respondents that the hearing be conducted privately.[ 1979 ex.s. c 68 § 36; 1959 c 282 § 50.]
WA Rev Code § 21.20.510 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.510 - Document filed when received—Register—Inspection of register, information, etc.

RCW 21.20.510 Document filed when received—Register—Inspection of register, information, etc.A document is filed with the director when it is received by the director or by a person as the director designates by rule or order. The director or the director's designee shall keep a register of all applications for registration and registration statements which are or have ever been effective under this chapter and all denial, suspension, or revocation orders which have ever been entered under this chapter. The register shall be open for public inspection. The information contained in or filed with any registration statement, application, or report may be made available to the public under such rules as the director prescribes.[ 1994 c 256 § 25; 1959 c 282 § 51.]NOTES:Findings—Construction—1994 c 256: See RCW 43.320.007.
WA Rev Code § 21.20.520 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.520 - Copies of entries, documents to be furnished—Copies as prima facie evidence.

RCW 21.20.520 Copies of entries, documents to be furnished—Copies as prima facie evidence.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.[ 2011 c 336 § 596; 1979 ex.s. c 68 § 37; 1959 c 282 § 52.]
WA Rev Code § 21.20.530 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.530 - Interpretative opinions by director.

RCW 21.20.530 Interpretative opinions by director.The director in his or her discretion may honor requests from interested persons for interpretative opinions.[ 1979 ex.s. c 68 § 38; 1959 c 282 § 53.]
WA Rev Code § 21.20.540 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.540 - Exemptions, exceptions, and preemptions—Burden of proof.

RCW 21.20.540 Exemptions, exceptions, and preemptions—Burden of proof.In any proceeding under this chapter, the burden of proving an exemption, an exception from a definition, or a preemption of a provision of this chapter is upon the person claiming it.[ 1998 c 15 § 21; 1959 c 282 § 54.]
WA Rev Code § 21.20.700 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.700 - Investigations and examinations—Additional authority—Scope.

RCW 21.20.700 Investigations and examinations—Additional authority—Scope.(1) In addition to the authority conferred in RCW 21.20.370 the director at any time during a public offering whether registered or not, or one year thereafter or at any time that any debt or equity securities which have been sold to the public pursuant to registration under this chapter are still an outstanding obligation of the issuer: (a) May investigate the issuer for the purpose of ascertaining whether there have been violations of this chapter, rules adopted under this chapter, or any conditions imposed by the director expressed in any permit for a public offering or otherwise; (b) may visit and examine the issuer for the purpose of assuring compliance with this chapter, rules adopted under this chapter, or any conditions imposed by the director whether expressed in the permit for the public offering or otherwise; (c) may require or permit any person to file a statement in writing, under oath or otherwise as the director may determine, as to all the facts and circumstances concerning the matter to be investigated; and (d) may publish information concerning any violation of this chapter, or any rule, order, or condition adopted or imposed under this chapter.(2) The examination or investigation, whether conducted within or without this state, shall include the right to reasonably examine the issuer's books, accounts, records, files, papers, feasibility reports, other pertinent information and obtain written permission from the issuer to consult with the independent accountant who audited the financial statements of the issuer. The reasonable costs of the examination shall be paid by the issuer to the director. The issuer shall not be liable for the costs of second or subsequent examinations during a calendar year.[ 1988 c 244 § 1; 1973 1st ex.s. c 171 § 5.]NOTES:Severability—1988 c 244: "If any provision of this act or its application to any person or circumstance is held invalid, the remainder of the act or the application of the provision to other persons or circumstances is not affected." [ 1988 c 244 § 18.]Effective date—1988 c 244: "Sections 1 through 16 of this act shall take effect July 1, 1988." [ 1988 c 244 § 20.]Implementation—Application—1988 c 244: "The director of licensing may take whatever action is necessary to implement this act on its effective date. This act applies to any person, individual, corporation, partnership, or association whether or not in existence on or prior to July 1, 1988. The director of licensing may adopt transition rules in order to allow debenture companies in existence prior to July 1, 1988, a reasonable amount of time to comply with the requirements of this act. Transition rules shall require compliance with this act not later than January 1, 1990." [ 1988 c 244 § 21.]Investigations: RCW 21.20.370.
WA Rev Code § 21.20.702 (2021)
2021 Revised Code of Washington|Title 21 - Securities and Investments|Chapter 21.20 - Securities Act of Washington.|21.20.702 - Suitability of recommendation—Reasonable grounds required.

RCW 21.20.702 Suitability of recommendation—Reasonable grounds required.(1) In recommending to a customer the purchase, sale, or exchange of a security, a broker-dealer, salesperson, investment adviser, or investment adviser representative must have reasonable grounds for believing that the recommendation is suitable for the customer upon the basis of the facts, if any, disclosed by the customer as to his or her other security holdings and as to his or her financial situation and needs.(2) Before the execution of a transaction recommended to a noninstitutional customer, other than transactions with customers where investments are limited to money market mutual funds, a broker-dealer, salesperson, investment adviser, or investment adviser representative shall make reasonable efforts to obtain information concerning:(a) The customer's financial status;(b) The customer's tax status;(c) The customer's investment objectives; and(d) Such other information used or considered to be reasonable by the broker-dealer, salesperson, investment adviser, or investment adviser representative in making recommendations to the customer.[ 1994 c 256 § 26; 1993 c 470 § 2.]NOTES:Findings—Construction—1994 c 256: See RCW 43.320.007.