Chapter

SECURITIES ACT OF WASHINGTON

RCW 21.20.005— Definitions.
RCW 21.20.010— Unlawful offers, sales, purchases.
RCW 21.20.020— Unlawful acts of person advising another.
RCW 21.20.030— Unlawful acts of investment adviser.
RCW 21.20.035— Unlawful purchases or sales for customer's account.
RCW 21.20.037— Variable contracts—Registration required—Rules.
RCW 21.20.040— Registration and notification required—Exemptions.
RCW 21.20.050— Application for registration—Filing of documents—Consent to service of process—Fee.
RCW 21.20.060— Contents of application for registration—Capital requirements.
RCW 21.20.070— When registration effective—Requirements determined by rule.
RCW 21.20.080— Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period.
RCW 21.20.090— Renewal of registration—Financial reports—Application for a successor.
RCW 21.20.100— Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination.
RCW 21.20.110— Director may deny, suspend, revoke, restrict, condition, or limit any application or registration—Director may censure or fine registrant—Grounds—Procedures—Costs—Accounting.
RCW 21.20.120— Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions.
RCW 21.20.130— Cancellation of registration or application—Grounds.
RCW 21.20.135— License as salesperson or broker-dealer prerequisite to suit for commission.
RCW 21.20.140— Unlawful to offer or sell unregistered securities—Exceptions.
RCW 21.20.180— Registration by coordination—Requirements—Statement, contents.
RCW 21.20.190— Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification.
RCW 21.20.200— Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions.
RCW 21.20.210— Registration by qualification—Statements—Requirements—Audits.
RCW 21.20.220— Information not required when nonissuer distribution.
RCW 21.20.230— Time of taking effect of registration statement by qualification—Conditions.
RCW 21.20.240— Registration statements—Generally.
RCW 21.20.250— Registration by qualification or coordination—Escrow—Impounding proceeds.
RCW 21.20.260— Registration by coordination or qualification—Offer and sale—Duration of effectiveness.
RCW 21.20.270— Reports by filer of statement—Annual financial statements.
RCW 21.20.275— Pending registration—Notice of termination—Application for continuation.
RCW 21.20.280— Stop orders—Grounds.
RCW 21.20.290— Stop order prohibited if facts known on effective date of statement.
RCW 21.20.300— Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.
RCW 21.20.310— Securities exempt from registration.
RCW 21.20.320— Exempt transactions.
RCW 21.20.325— Denial, revocation, condition, of exemptions—Authority—Procedure.
RCW 21.20.327— Required filings—Consent to service—Failure to comply—Rules—Fees.
RCW 21.20.330— Consent to service of process—Service, how made.
RCW 21.20.340— Fees—Disposition.
RCW 21.20.350— False or misleading statements in filed documents.
RCW 21.20.360— Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations.
RCW 21.20.370— Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information.
RCW 21.20.377— Subpoena authority—Application—Contents—Notice—Fees.
RCW 21.20.380— Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
RCW 21.20.390— Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting.
RCW 21.20.395— Administrative action—Hearing—Judicial review—Judgment.
RCW 21.20.400— Penalty for violation of chapter—Limitation of actions.
RCW 21.20.410— Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.
RCW 21.20.420— Criminal punishment, chapter not exclusive.
RCW 21.20.430— Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter.
RCW 21.20.435— Assurance of discontinuance of violations—Acceptance—Filing.
RCW 21.20.440— Judicial review of order—Modification of order by director on additional evidence.
RCW 21.20.450— Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.
RCW 21.20.460— Administrator of securities—Appointment, qualifications, term, etc.
RCW 21.20.470— Compensation, travel expenses of administrator and employees.
RCW 21.20.480— Unlawful use or disclosure of filed information.
RCW 21.20.490— No liability under chapter for act in good faith.
RCW 21.20.500— Administrative hearings public—Exception.
RCW 21.20.510— Document filed when received—Register—Inspection of register, information, etc.
RCW 21.20.520— Copies of entries, documents to be furnished—Copies as prima facie evidence.
RCW 21.20.530— Interpretative opinions by director.
RCW 21.20.540— Exemptions, exceptions, and preemptions—Burden of proof.
RCW 21.20.700— Investigations and examinations—Additional authority—Scope.
RCW 21.20.702— Suitability of recommendation—Reasonable grounds required.
RCW 21.20.810— Application of chapter not limited.
RCW 21.20.855— Examination reports and information—Exempt from public disclosure—Use in civil actions.
RCW 21.20.860— Construction—Chapter applicable to state registered domestic partnerships—2009 c 521.
RCW 21.20.880— Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
RCW 21.20.900— Construction to secure uniformity.
RCW 21.20.910— Saving—Civil, criminal proceedings.
RCW 21.20.915— Saving—Prior effective registrations.
RCW 21.20.920— Application of prior law.
RCW 21.20.925— Judicial review of prior administrative orders.
RCW 21.20.930— Solicitation permits under insurance laws not limited.
RCW 21.20.935— Repealer.
RCW 21.20.940— Short title.