WAC 460-99C-140:

WACs > Title 460 > Chapter 460-99C > Section 460-99C-140

HTML has links - PDF has Authentication

Print This Page

460-99C-130 << 460-99C-140 >> 460-99C-150

PDFWAC 460-99C-140

Issuer compliance with investor limitations.

Prior to accepting investor funds or an irrevocable commitment to invest, the issuer must obtain, from each investor, a copy of the Investor Certifications and Acknowledgements Form prescribed by the director that has been either manually or electronically signed by the investor.

[Statutory Authority: RCW 21.20.450, 21.20.880 and 2017 c 113. WSR 17-17-022, § 460-99C-140, filed 8/8/17, effective 9/8/17. Statutory Authority: RCW 21.20.450, 21.20.880, 21.20.883, 21.20.886, and 2014 c 144. WSR 14-21-001, § 460-99C-140, filed 10/1/14, effective 11/1/14.]