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Chapter 460-24A WAC

|Hide DispositionsLast Update: 1/18/19

INVESTMENT ADVISERS

WAC Sections

HTMLPDF460-24A-005Definitions.
HTMLPDF460-24A-010Application of rules to out-of-state investment advisers.
HTMLPDF460-24A-020Investment adviser representatives employed by federal covered advisers.
HTMLPDF460-24A-030Use of the term "investment counsel" is prohibited.
HTMLPDF460-24A-035Counting of clients for registration purposes.
HTMLPDF460-24A-040Use of certain terms deemed similar to "financial planner" or "investment counselor."
HTMLPDF460-24A-045Holding out as a financial planner.
HTMLPDF460-24A-047Electronic filing.
HTMLPDF460-24A-050Registration and examination requirements.
HTMLPDF460-24A-055Effective date of registration.
HTMLPDF460-24A-057Renewal of investment adviser and investment adviser representative registration—Delinquency fees.
HTMLPDF460-24A-059Pending application—Notice of termination—Application for continuation.
HTMLPDF460-24A-060Financial reporting requirements for investment advisers.
HTMLPDF460-24A-070Notice filing requirements for federal covered advisers.
HTMLPDF460-24A-071Registration exemption for investment advisers to private funds.
HTMLPDF460-24A-072Registration exemption for investment advisers to venture capital funds.
HTMLPDF460-24A-080Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status.
HTMLPDF460-24A-100Advertisements and written client communications by investment advisers.
HTMLPDF460-24A-105Requirements for an investment adviser that has custody or possession of client funds or securities.
HTMLPDF460-24A-106Additional custody requirements for an investment adviser that directly deducts fees from client accounts.
HTMLPDF460-24A-107Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust.
HTMLPDF460-24A-108Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust.
HTMLPDF460-24A-109Exceptions from custody requirements.
HTMLPDF460-24A-110Agency cross transactions.
HTMLPDF460-24A-120Compliance procedures and practices.
HTMLPDF460-24A-122Material nonpublic information policies and procedures.
HTMLPDF460-24A-125Proxy voting.
HTMLPDF460-24A-126Business continuity and succession plan.
HTMLPDF460-24A-130Contents of investment advisory contract.
HTMLPDF460-24A-135Dissemination of advisory fee billing information for advisers who do not directly deduct fees.
HTMLPDF460-24A-140Guarantees of success are prohibited.
HTMLPDF460-24A-145Investment adviser brochure rule.
HTMLPDF460-24A-150Performance compensation arrangements.
HTMLPDF460-24A-160Restrictions on advertising refunds.
HTMLPDF460-24A-170Minimum net worth requirements for investment advisers.
HTMLPDF460-24A-190Training regarding vulnerable adults.
HTMLPDF460-24A-200Books and records to be maintained by investment advisers.
HTMLPDF460-24A-205Notice of changes by investment advisers and investment adviser representatives.
HTMLPDF460-24A-210Notice of complaint must be filed with director.
HTMLPDF460-24A-220Unethical business practices—Investment advisers and federal covered advisers.
DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE
460-24A-046Dual representation and affiliation. [Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 95-16-026, § 460-24A-046, filed 7/21/95, effective 8/21/95.] Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97. Statutory Authority: RCW 21.20.100 and 21.20.450.
460-24A-058Completion of filing. [Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. WSR 01-16-125, § 460-24A-058, filed 7/31/01, effective 10/24/01.] Repealed by WSR 14-13-068, filed 6/12/14, effective 7/13/14. Statutory Authority: RCW 21.20.005, 21.20.020, 21.20.030, 21.20.040, 21.20.050, 21.20.060, 21.20.070, 21.20.080, 21.20.090, 21.20.100, 21.20.330, 21.20.340, 21.20.450, and 21.20.702.