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Chapter 460-20C WAC

Last Update: 9/12/24

BROKER-DEALERS AND SALESPERSONS OF BROKER-DEALERS

WAC Sections

HTMLPDF460-20C-010Application of chapter.
HTMLPDF460-20C-015Cross-reference to other sections relating to broker-dealers and salespersons.
HTMLPDF460-20C-020Definitions.
HTMLPDF460-20C-025Filings made through the Central Registration Depository.
HTMLPDF460-20C-030Registration procedure.
HTMLPDF460-20C-035Canadian broker-dealers and salespersons.
HTMLPDF460-20C-040Examination requirements.
HTMLPDF460-20C-045Notice of termination of pending applications.
HTMLPDF460-20C-050Expiration and renewal of registration.
HTMLPDF460-20C-060Notice of changes by broker-dealers.
HTMLPDF460-20C-080Mass transfer of salespersons.
HTMLPDF460-20C-090Termination of broker-dealer registration.
HTMLPDF460-20C-100Termination of salesperson registration.
HTMLPDF460-20C-110Minimum net capital requirements for broker-dealers.
HTMLPDF460-20C-120Reserve and custody requirements.
HTMLPDF460-20C-130Books and records of broker-dealers.
HTMLPDF460-20C-140Financial reporting requirements.
HTMLPDF460-20C-150Supervision of salespersons and employees.
HTMLPDF460-20C-160Fraudulent practices of broker-dealers and salespersons.
HTMLPDF460-20C-170Excessive trading.
HTMLPDF460-20C-180Transmission or maintenance of payments received in connection with underwritings.
HTMLPDF460-20C-190Communications with the public.
HTMLPDF460-20C-200Deferred variable annuities.
HTMLPDF460-20C-210Dishonest or unethical practices—Broker-dealers.
HTMLPDF460-20C-220Dishonest or unethical practices—Salespersons.
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