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Agency filings affecting this section

PDFWAC 460-20C-010

Application of chapter.

The rules in this chapter apply to broker-dealers and salespersons of broker-dealers registered or required to be registered under RCW 21.20.040. The rules apply to broker-dealers to the extent permitted by the National Securities Markets Improvement Act of 1996 (Pub. L. No. 104-290).
[Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 24-19-055, s 460-20C-010, filed 9/12/24, effective 10/13/24.]