reglab/statecodes huggingface dataset:
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-126 - Business continuity and succession plan

Current through Register Vol. 24-14, July 15, 2024
If you are an investment adviser registered or required to be
				registered pursuant to
				RCW
				 21.20.040, it is unlawful under
				RCW
				 21.20.020 for you to provide investment
				advice to clients unless you comply with the following requirements:
(1) You must establish, maintain, and enforce
			 written procedures relating to a business continuity and succession plan. The
			 business continuity and succession plan must provide for at least the
			 following:
(a) The protection, backup, and
			 recovery of books and records;
(b)
			 Alternate means of communications with customers, key personnel, employees,
			 vendors, service providers (including third-party custodians), and regulators
			 including, but not limited to, providing notice of a significant business
			 interruption or the death or unavailability of key personnel or other
			 disruptions or cessation of business activities;
(c) Office relocation in the event of
			 temporary or permanent loss of a principal place of business;
(d) Assignment of duties to qualified
			 responsible persons in the event of the death or unavailability of key
			 personnel; and
(e) Otherwise
			 minimizing service disruption and client harm that could result from a sudden,
			 significant business interruption.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-135 - Dissemination of advisory fee billing information for advisers who do not directly deduct fees

Current through Register Vol. 24-14, July 15, 2024
(1) If you are an
			 investment adviser registered or required to be registered pursuant to
			 RCW
			  21.20.040, it is unlawful under
			 RCW
			  21.20.020 for you to provide investment
			 advice to clients unless you deliver written billing information to your
			 advisory clients each time you charge an advisory fee. The written billing
			 information must include the fee(s) charged, the formula used to calculate the
			 fee(s), the fee calculation itself, the amount of assets under management the
			 fee is based on, and the time period covered by the fee(s). If you charge
			 performance compensation, the written billing information must also include the
			 client's cumulative net investment gain (or loss) and the amount of cumulative
			 net investment gain over which you will receive performance compensation. You
			 must include the name of the custodian(s) on the fee invoice.
(2) The provision of invoices in accordance
			 with WAC
			 460-24A-106(1)(b)
			 will satisfy the requirements of this section.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-140 - Guarantees of success

Current through Register Vol. 24-14, July 15, 2024
It is an unlawful act, practice, or course of business which
				operates or would operate as a fraud or deceit under
				RCW
				 21.20.020(1)(b) to make any
				representation or statement, whether directly or by implication, guaranteeing
				the success of investments made pursuant to the recommendations of an
				investment adviser or investment adviser representative.
Order 304, §
										460-24A-140, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-24
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-145 - Investment adviser brochure rule

Current through Register Vol. 24-14, July 15, 2024
(1)
General requirements.
Unless
			 otherwise provided in this rule, if you are an investment adviser registered or
			 required to be registered pursuant to
			 RCW
			  21.20.040, you must, in accordance with the
			 provisions of this section, deliver to each advisory client and prospective
			 advisory client:
(a) A brochure which may be
			 a copy of Part 2A of your Form ADV or written documents containing the
			 information required by Part 2A of Form ADV. The brochure must comply with the
			 language, organizational format and filing requirements specified in the
			 Instructions to Form ADV Part 2;
(b) A copy of your Part 2B brochure
			 supplement for each individual:
(i) Providing
			 investment advice and having direct contact with clients in this state;
			 or
(ii) Exercising discretion over
			 assets of clients in this state, even if no direct contact is
			 involved;
(c) A copy of
			 your Part 2A Appendix 1 wrap fee brochure if you sponsor or participate in a
			 wrap fee account;
(d) A summary of
			 material changes, which may be included in Form ADV Part 2 or given as a
			 separate document; and
(e) Such
			 other information as the director may require.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-150 - Performance compensation arrangements

Current through Register Vol. 24-14, July 15, 2024
(1)
General.
If you are an
			 investment adviser you may, without violating
			 RCW
			  21.20.030(1), enter into,
			 extend, or renew an investment advisory contract which provides for
			 compensation to you 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 if:
(a) You are an investment adviser who is not
			 registered and is not required to be registered under
			 RCW
			  21.20.040; or
(b) The client is a "qualified client" as
			 defined in subsection (2) of this section and the conditions of subsections (3)
			 through (8) of this section are met.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-160 - Restrictions on advertising refunds

Current through Register Vol. 24-14, July 15, 2024
If you are in an investment adviser or investment adviser
				representative, it is unlawful under
				RCW
				 21.20.020 to advertise or represent to
				subscribers or customers for advisory services that subscriptions, fees or
				other payments will be refunded if they are not satisfied unless:
(1) Such undertaking to refund is clear and
			 unequivocal and is concerned not with the merit or success of the service, but
			 with the customer's satisfaction therewith; and
(2) Your financial situation is adequate to
			 ensure your ability to meet all such refund demands.
Order 304, §
										460-24A-160, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-24
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-170 - Minimum net worth requirements for investment advisers

Current through Register Vol. 24-14, July 15, 2024
(1) If you are an investment adviser
			 registered or required to be registered under
			 RCW
			  21.20.040, who has custody of client funds or
			 securities, you must maintain at all times a minimum net worth of $35,000
			 unless provided otherwise in this chapter. If you are an investment adviser
			 registered or required to be registered under
			 RCW
			  21.20.040, who has discretionary authority
			 over client funds or securities, but does not have custody of client funds or
			 securities, you must maintain at all times a minimum net worth of
			 $10,000.
(2) If you are an
			 investment adviser registered or required to be registered under
			 RCW
			  21.20.040 who has custody or discretionary
			 authority over client funds or securities, but does not meet the minimum net
			 worth requirements in subsection (1) of this section you must maintain a bond
			 in the amount of the net worth deficiency rounded up to the nearest $5,000. Any
			 bond required by this section must be in the form determined by the director,
			 issued by a company qualified to do business in this state, and must be subject
			 to the claims of all clients of the investment adviser regardless of the
			 clients' states of residence.
(3)
			 If you are an investment adviser registered or required to be registered under
			 RCW
			  21.20.040, you must maintain at all times a
			 positive net worth.
(4) Unless
			 otherwise exempted, as a condition of the right to transact business in this
			 state, if you are an investment adviser registered or required to be registered
			 under
			 RCW
			  21.20.040 you must, by the close of business
			 on the next business day, notify the director if your net worth is less than
			 the minimum required. After transmitting such notice, you must file, by the
			 close of business on the next business day, a report with the director of its
			 financial condition, including the following:
(a) A trial balance of all ledger
			 accounts;
(b) A statement of all
			 client funds or securities which are not segregated;
(c) A computation of the aggregate amount of
			 client ledger debit balances; and
(d) A statement as to the number of client
			 accounts.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-190 - Training regarding vulnerable adults

Current through Register Vol. 24-14, July 15, 2024
If you are an investment adviser registered or required to be
				registered pursuant to
				RCW
				 21.20.040, or a federal covered adviser, it
				is unlawful under
				RCW
				 21.20.020 for you to provide investment
				advice to clients unless you provide training concerning financial exploitation
				of vulnerable adults pursuant to
				RCW
				 74.34.220. You must provide the training to
				your investment adviser representatives and to your employees who have contact
				with clients and access to account information on a regular basis and as part
				of their jobs. The training must include recognition of indicators of financial
				exploitation of a vulnerable adult, the manner in which employees may report
				suspected financial exploitation to the department of social and health
				services and law enforcement as permissive reporters, and steps employees may
				take to prevent suspected financial exploitation of a vulnerable adult as
				authorized by law or agreements between you and your clients.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-205 - Notice of changes by investment advisers and investment adviser representatives

Current through Register Vol. 24-14, July 15, 2024
(1) If
			 you are an investment adviser registered or required to be registered pursuant
			 to
			 RCW
			  21.20.040, you must:
(a) Promptly file with IARD, in accordance
			 with the instructions to Form ADV, any amendments to your Form ADV. An
			 amendment will be considered promptly filed if it is filed within thirty days
			 of the event that requires the filing of the amendment;
(b) File an annual updating amendment to the
			 Form ADV with IARD within ninety days after the end of your fiscal
			 year;
(c) File with the director by
			 email thirty days prior to use any amendments to your advisory contracts or
			 offering materials for any pooled investment vehicles that you advise. This
			 includes the advisory contracts or offering materials that you intend to use in
			 connection with any newly formed pooled investment vehicles to which you will
			 provide investment advice; and
(d)
			 Promptly file with the director by email any amendment to your list of the
			 custodians that hold the client funds or securities that you supervise or
			 manage. If you disclose this information on Schedule D of Form ADV Part 1A, and
			 you file an amendment to Form ADV pursuant to (a) of this subsection, you will
			 have satisfied this requirement. The director will consider an amendment to be
			 filed promptly if it is filed within thirty days of the event that requires the
			 filing of the amendment.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-24A - Investment advisers › Section 460-24A-210 - Notice of complaint must be filed with director

Current through Register Vol. 24-14, July 15, 2024
If you are an investment adviser registered or required to be
				registered pursuant to
				RCW
				 21.20.040 who has filed a complaint against
				any of your partners, officers, directors, agents registered in Washington or
				associated persons with any law enforcement agency, any other regulatory agency
				having jurisdiction over the securities industry, or with any bonding company
				regarding any loss arising from alleged acts of such person, you must send a
				copy of such complaint to the director, within ten days following its filing
				with such other agency or bonding company.
Statutory Authority:
				  RCW
				   21.20.450,
				  21.20.050,
				  21.20.100. 01-16-125, §
										460-24A-210, filed 7/31/01,
				  effective 10/24/01; Order 304, §
										460-24A-210, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-24
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-010 - Purpose of chapter

Current through Register Vol. 24-14, July 15, 2024
The rules in this chapter apply to the use of senior
				certifications and designations.
Statutory Authority:
				  RCW
				  21.20.450,
				  21.20.020(1)(c), 21.20.110(1)(g).
				  08-14-006, §
										460-25A-010, filed 6/19/08,
				  effective 7/20/08.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-020 - Use of senior-specific certifications and professional designations

Current through Register Vol. 24-14, July 15, 2024
(1) Consistent with
			 the model rule on the use of senior-specific certifications and professional
			 designations adopted by the North American Securities Administrators
			 Association, Inc. on March 20, 2008, the use of a senior-specific certification
			 or designation by any person in connection with the offer, sale, or purchase of
			 securities, or the provision of advice as to the value of or the advisability
			 of investing in, purchasing, or selling securities, either directly or
			 indirectly or through publications or writings, or by issuing or promulgating
			 analyses or reports relating to securities, that indicates or implies that the
			 user has special certification or training in advising or servicing senior
			 citizens or retirees, in such a way as to mislead any person shall be a
			 dishonest and unethical practice within the meaning of
			 RCW
			  21.20.020(1)(c) and
			 21.20.110(1)(g).
(2) The prohibited use of such certifications
			 or professional designations includes, but is not limited to, the following:
(a) Use of a certification or professional
			 designation by a person who has not actually earned or is otherwise ineligible
			 to use such certification or designation;
(b) Use of a nonexistent or self-conferred
			 certification or professional designation;
(c) Use of a certification or professional
			 designation that indicates or implies a level of occupational qualifications
			 obtained through education, training, or experience that the person using the
			 certification or professional designation does not have; and
(d) Use of a certification or professional
			 designation that was obtained from a designating or certifying organization
			 that:
(i) Is primarily engaged in the business
			 of instruction in sales and/or marketing;
(ii) Does not have reasonable standards or
			 procedures for assuring the competency of its designees or
			 certificants;
(iii) Does not have
			 reasonable standards or procedures for monitoring and disciplining its
			 designees or certificants for improper or unethical conduct; or
(iv) Does not have reasonable continuing
			 education requirements for its designees or certificants in order to maintain
			 the designation or certificate.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-030 - Designations awarded by recognized designating or certifying organizations

Current through Register Vol. 24-14, July 15, 2024
There is a rebuttable presumption that a designating or
				certifying organization is not disqualified solely for purposes of WAC
				460-25A-020(2)(d)
				 when the organization has been accredited by:
(1) The American National Standards
			 Institute;
(2) The National
			 Commission for Certifying Agencies; or
(3) An organization that is on the United
			 States Department of Education's list entitled "Accrediting Agencies Recognized
			 for Title IV Purposes" and the designation or credential issued therefrom does
			 not primarily apply to sales and/or marketing.
Statutory Authority:
				  RCW
				  21.20.450,
				  21.20.020(1)(c), 21.20.110(1)(g).
				  08-14-006, §
										460-25A-030, filed 6/19/08,
				  effective 7/20/08.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-040 - Factors considered to determine whether a term is a senior-specific certification or professional designation

Current through Register Vol. 24-14, July 15, 2024
In determining whether a combination of words (or an acronym
				standing for a combination of words) constitutes a certification or
				professional designation indicating or implying that a person has special
				certification or training in advising or servicing senior citizens or retirees,
				factors to be considered shall include:
(1) Use of one or more words such as a
			 "senior," "retirement," "elder," or like words, combined with one or more words
			 such as "certified," "registered," "chartered," "adviser," "specialist,"
			 "consultant," "planner," or like words, in the name of the certification or
			 professional designation; and
(2)
			 The manner in which those words are combined.
Statutory Authority:
				  RCW
				  21.20.450,
				  21.20.020(1)(c), 21.20.110(1)(g).
				  08-14-006, §
										460-25A-040, filed 6/19/08,
				  effective 7/20/08.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-050 - Exception for certain job titles

Current through Register Vol. 24-14, July 15, 2024
(1) There is a rebuttable presumption that a
			 certification or professional designation does not include a job title within
			 an organization that is licensed or registered by a state or federal financial
			 services regulatory agency, when that job title:
(a) Indicates seniority or standing within
			 the organization; or
(b) Specifies
			 an individual's area of specialization within the organization.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-25A - Use of senior designations › Section 460-25A-060 - Application of chapter not exclusive

Current through Register Vol. 24-14, July 15, 2024
Nothing in this chapter shall limit the director's authority to
				enforce existing provisions of law.
Statutory Authority:
				  RCW
				  21.20.450,
				  21.20.020(1)(c), 21.20.110(1)(g).
				  08-14-006, §
										460-25A-060, filed 6/19/08,
				  effective 7/20/08.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-28A - Advertisements › Section 460-28A-010 - Advertisements - Scope of rules

Current through Register Vol. 24-14, July 15, 2024
Any advertisement, display, pamphlet, brochure, letter,
				articles, or communication published in any newspaper, magazine, or periodical,
				or script or any recording, radio or television announcement, broadcast, or
				commercial to be used or circulated in connection with the sale and promotion
				of a registered offering of securities will be subject to the requirements and
				restrictions set out in WAC
				460-28A-015 and
				460-28A-020.
Order 342, §
										460-28A-010, filed 9/29/75; Order
				  304, §
										460-28A-010, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-28
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-28A - Advertisements › Section 460-28A-015 - All advertisements to be filed

Current through Register Vol. 24-14, July 15, 2024
All sales and advertising literature and promotional material,
				other than that exempted by these rules, shall be governed by the
				following:
(1) The registration
			 applicant or registrant shall file with the division, at least five business
			 days before its intended dissemination, one copy of each item of literature or
			 material.
(2) If not disallowed by
			 the administrator by written notice or otherwise within three business days
			 from the date filed, the literature or material may be disseminated.
(3) No formal approval of the literature or
			 material shall be issued by the administrator.
(4) The disseminator of the literature or
			 material shall be responsible for the accuracy and reliability of the
			 literature and material, and its conformance with the code and these
			 rules.
Statutory Authority:
				  RCW
				  21.20.450. 99-03-053, §
										460-28A-015, filed 1/15/99,
				  effective 2/15/99; Order 342, §
										460-28A-015, filed 9/29/75; Order
				  304, §
										460-28A-015, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-28
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-28A - Advertisements › Section 460-28A-020 - Specific prohibitions

Current through Register Vol. 24-14, July 15, 2024
The following devices or sales presentation, and the use
				thereof, will be deemed deceptive or misleading practices:
(1) Comparison charts or graphs showing a
			 distorted, unfair or unrealistic relationship between the issuer's past
			 performance, progress or success and that of another company, business,
			 industry or investment media;
(2)
			 Lay-out, format, size, kind and color of type used so as to attract attention
			 to favorable or incomplete portions of the advertising matter, or to minimize
			 less favorable, modified or modifying portions necessary to make the entire
			 advertisement a fair and truthful representation;
(3) Statements or representations, which by
			 themselves predict future profit, success, appreciation, performance or
			 otherwise relate to the merit or potential of the securities which are positive
			 or imperative in form;
(4)
			 Generalizations, generalized conclusions, opinions, representations and general
			 statements based upon a particular set of facts and circumstances unless those
			 facts and circumstances are stated and modified or explained by such additional
			 facts or circumstances as are necessary to make the entire advertisement a
			 full, fair and truthful representation;
(5) Sales kits or film clips, displays or
			 exposures, which, alone or by sequence and progressive compilation, tend to
			 present an accumulative or composite picture or impression of certain, or
			 exaggerated potential, profit, safety, return or assured or extraordinary
			 investment opportunity or similar benefit to the prospective
			 purchaser;
(6) Distribution of any
			 nonfactual or inaccurate data or material by words, pictures, charts, graphs,
			 or otherwise, based on conjectural, unfounded, extravagant, or flamboyant
			 claims, assertions, predictions or excessive optimism;
(7) Memoranda, reports, letters and similar
			 distributions which tend, alone or by compilation, to substitute, repeat or
			 detract from disclosure in the registered offering circular.
Order SD-131-77, §
										460-28A-020, filed 11/23/77;
				  Order 304, §
										460-28A-020, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-28
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-28A - Advertisements › Section 460-28A-025 - Exceptions from filing requirements

Current through Register Vol. 24-14, July 15, 2024
The following forms and types of advertising are permitted
				without the necessity for filing or prior authorization by the administrator,
				unless specifically prohibited.
(1)
			 So-called "tombstone" advertising, containing no more than the following
			 information:
(a) Name and address of
			 issuer.
(b) Identity or title of
			 security.
(c) Per unit offering
			 price, number of shares and amount of offering.
(d) Brief, general description of
			 business.
(e) Name and address of
			 underwriter, or address where offering circular or prospectus can be
			 obtained.
(f) Date of
			 issuance.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-32A - Real estate related securities programs › Section 460-32A-400 - Sales in condominiums or units in real estate development

Current through Register Vol. 24-14, July 15, 2024
The Washington Securities Act provides that its interpretation
				and administration be coordinated with related federal regulations. In light of
				such policy and due to the relevance and importance of the Securities and
				Exchange Commission Securities Act Release No. 5347, the division of securities
				hereby adopts Securities and Exchange Commission Securities Act Release No.
				5347.
Statutory Authority:
				  RCW
				  21.20.450. 98-18-033, §
										460-32A-400, filed 8/26/98,
				  effective 9/26/98; Order 304, §
										460-32A-400, filed 2/28/75,
				  effective 4/1/75. Formerly chapter 460-32
				  WAC.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-010 - Application (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.450. 12-10-051, §
										460-33A-010, filed 4/30/12,
				  effective 5/31/12; 01-23-002, §
										460-33A-010, filed 11/7/01,
				  effective 12/8/01; 89-17-078 (Order SDO-124-89), §
										460-33A-010, filed 8/17/89,
				  effective 9/17/89; 86-21-107 (Order SDO-140-86), §
										460-33A-010, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-010, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-015 - Definitions (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-015, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 12-10-051, §
										460-33A-015, filed 4/30/12,
				  effective 5/31/12; 01-23-002, §
										460-33A-015, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-015, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-015, filed 8/17/89,
				  effective 9/17/89; 86-21-107 (Order SDO-140-86), §
										460-33A-015, filed 10/20/86;
				  83-15-043 (Order SDO-90-83), §
										460-33A-015, filed 7/19/83;
				  83-03-025 (Order SDO-7-83), §
										460-33A-015, filed
				  1/13/83.
Reviser's note:
RCW
				   34.05.395 requires the use of underlining and
				  deletion marks to indicate amendments to existing rules, and deems ineffectual
				  changes not filed by the agency in this manner. The bracketed material in the
				  above section does not appear to conform to the statutory
				  requirement.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-017 - Registration not required (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-017, filed 5/17/12,
				  effective 6/17/12. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-017, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-017, filed 8/17/89,
				  effective 9/17/89; 86-21-107 (Order SDO-140-86), §
										460-33A-017, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-017, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-020 - Optional registration procedures for mortgage paper securities (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-020, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450 and
				  21.20.210(14).
				  96-11-025, §
										460-33A-020, filed 5/6/96,
				  effective 6/6/96. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-020, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.180(8),
				  21.20.210(14) and
				  21.20.450. 86-21-107 (Order
				  SDO-140-86), §
										460-33A-020, filed 10/20/86.
				  Statutory Authority:
				  RCW
				   21.20.450. 83-03-025 (Order SDO-7-83), §
										460-33A-020, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-025 - Contents of the general offering circular (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-025, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-025, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 86-21-107 (Order SDO-140-86),
				  §
										460-33A-025, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-025, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-030 - Contents and filing of the specific offering circular (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-030, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-030, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 86-21-107 (Order SDO-140-86),
				  §
										460-33A-030, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-030, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-031 - Minimum investor suitability requirements (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-031, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-031, filed 11/7/01,
				  effective 12/8/01; 89-17-078 (Order SDO-124-89), §
										460-33A-031, filed 8/17/89,
				  effective 9/17/89; 86-21-107 (Order SDO-140-86), §
										460-33A-031, filed
				  10/20/86.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-035 - Limitations on the use of optional registration of this chapter (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-035, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-035, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-035, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 86-21-107 (Order SDO-140-86),
				  §
										460-33A-035, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-035, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-036 - Participation agreement (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-036, filed 5/17/12,
				  effective 6/17/12.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-037 - Disclosure requirements in the sale of real estate owned property (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-037, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-037, filed 11/7/01,
				  effective 12/8/01.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-038 - Real estate broker's opinion of value in the sale of real estate owned property (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-038, filed 11/7/01,
				  effective 12/8/01.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-040 - Net worth or bond requirement (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-040, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-040, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-040, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.060 and
				  21.20.450. 86-21-107 (Order
				  SDO-140-86), §
										460-33A-040, filed 10/20/86.
				  Statutory Authority:
				  RCW
				   21.20.450. 83-03-025 (Order SDO-7-83), §
										460-33A-040, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-055 - Escrow account (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-055, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-055, filed 11/7/01,
				  effective 12/8/01. Statutory Authority: RCW 21.20.045. 92-18-009, §
										460-33A-055, filed 8/21/92,
				  effective 9/21/92. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-055, filed 8/17/89,
				  effective 9/17/89. Statutory Authority:
				  RCW
				   21.20.250 and
				  21.20.450. 86-21-107 (Order
				  SDO-140-86), §
										460-33A-055, filed 10/20/86.
				  Statutory Authority:
				  RCW
				   21.20.450. 83-03-025 (Order SDO-7-83), §
										460-33A-055, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-060 - Recordation (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-060, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 86-21-107 (Order SDO-140-86),
				  §
										460-33A-060, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-060, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-065 - Service agreement (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-065, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-065, filed 8/17/89,
				  effective 9/17/89; 86-21-107 (Order SDO-140-86), §
										460-33A-065, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-065, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-070 - Origination and assignment (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-070, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-070, filed 11/7/01,
				  effective 12/8/01; 86-21-107 (Order SDO-140-86), §
										460-33A-070, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-070, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-075 - Advertising (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-075, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-075, filed 11/7/01,
				  effective 12/8/01; 86-21-107 (Order SDO-140-86), §
										460-33A-075, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-075, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-080 - Registration and examination of mortgage broker-dealers (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-080, filed 11/7/01,
				  effective 12/8/01. Statutory Authority:
				  RCW
				   21.20.070 and
				  21.20.450. 95-16-026, §
										460-33A-080, filed 7/21/95,
				  effective 8/21/95. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-080, filed 8/17/89,
				  effective 9/17/89. Statutory Authority:
				  RCW
				   21.20.060 and
				  21.20.450. 86-21-107 (Order
				  SDO-140-86), §
										460-33A-080, filed 10/20/86.
				  Statutory Authority:
				  RCW
				   21.20.450. 83-03-025 (Order SDO-7-83), §
										460-33A-080, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-081 - Expiration of mortgage broker-dealer registration, renewal procedure (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-081, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-081, filed 11/7/01,
				  effective 12/8/01. Statutory Authority:
				  RCW
				   21.20.070 and
				  21.20.450. 95-16-026, §
										460-33A-081, filed 7/21/95,
				  effective 8/21/95.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-085 - Registration and examination of mortgage securities salespersons (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.070 and
				  21.20.450. 95-16-026, §
										460-33A-085, filed 7/21/95,
				  effective 8/21/95. Statutory Authority:
				  RCW
				   21.20.450. 89-17-078 (Order SDO-124-89),
				  §
										460-33A-085, filed 8/17/89,
				  effective 9/17/89. Statutory Authority:
				  RCW
				   21.20.070,
				  21.20.080 and
				  21.20.450. 86-21-107 (Order
				  SDO-140-86), §
										460-33A-085, filed 10/20/86.
				  Statutory Authority:
				  RCW
				   21.20.450. 83-03-025 (Order SDO-7-83), §
										460-33A-085, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-086 - Expiration of mortgage securities salesperson registration, renewal procedure (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-086, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-086, filed 11/7/01,
				  effective 12/8/01. Statutory Authority:
				  RCW
				   21.20.070 and
				  21.20.450. 95-16-026, §
										460-33A-086, filed 7/21/95,
				  effective 8/21/95.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-090 - Dishonest and unethical practices-Mortgage broker-dealers (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-090, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-090, filed 11/7/01,
				  effective 12/8/01; 86-21-107 (Order SDO-140-86), §
										460-33A-090, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-090, filed
				  1/13/83.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-095 - Fiduciary duty-Mortgage broker-dealers (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-095, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 01-23-002, §
										460-33A-095, filed 11/7/01,
				  effective 12/8/01.
Washington Administrative Code › Title 460 - Financial Institutions, Department of (Securities Division) › Chapter 460-33A - Regulations concerning securities involving mortgages, trust deeds or property sales contracts (Repealed) › Section 460-33A-100 - Written statement (Repealed)

Current through Register Vol. 24-14, July 15, 2024
Statutory Authority:
				  RCW
				   21.20.060, [21.20].070,[21.20].090, [21.20].100, [21.20].180, [21.20].210,[21.20].250, [21.20].270, and
				  [21.20].450. 12-11-087, §
										460-33A-100, filed 5/17/12,
				  effective 6/17/12. Statutory Authority:
				  RCW
				   21.20.450. 86-21-107 (Order SDO-140-86),
				  §
										460-33A-100, filed 10/20/86;
				  83-03-025 (Order SDO-7-83), §
										460-33A-100, filed
				  1/13/83.