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Title 460
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Chapter 460-21C
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Section 460-21C-040
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460-21C-030
<< 460-21C-040 >>
End of Chapter
No agency filings affecting this section since 2003
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WAC 460-21C-040
Notification of termination.
The broker-dealer must promptly notify the financial institution if any agent of the broker-dealer who is employed by the financial institution is terminated for cause by the broker-dealer.
[Statutory Authority: RCW
21.20.100
,
21.20.450
. WSR 00-05-055, ยง 460-21C-040, filed 2/14/00, effective 3/16/00.]
