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Chapter 460-20C WAC
Last Update: 9/12/24BROKER-DEALERS AND SALESPERSONS OF BROKER-DEALERS
WAC Sections
| HTMLPDF | 460-20C-010 | Application of chapter. |
| HTMLPDF | 460-20C-015 | Cross-reference to other sections relating to broker-dealers and salespersons. |
| HTMLPDF | 460-20C-020 | Definitions. |
| HTMLPDF | 460-20C-025 | Filings made through the Central Registration Depository. |
| HTMLPDF | 460-20C-030 | Registration procedure. |
| HTMLPDF | 460-20C-035 | Canadian broker-dealers and salespersons. |
| HTMLPDF | 460-20C-040 | Examination requirements. |
| HTMLPDF | 460-20C-045 | Notice of termination of pending applications. |
| HTMLPDF | 460-20C-050 | Expiration and renewal of registration. |
| HTMLPDF | 460-20C-060 | Notice of changes by broker-dealers. |
| HTMLPDF | 460-20C-080 | Mass transfer of salespersons. |
| HTMLPDF | 460-20C-090 | Termination of broker-dealer registration. |
| HTMLPDF | 460-20C-100 | Termination of salesperson registration. |
| HTMLPDF | 460-20C-110 | Minimum net capital requirements for broker-dealers. |
| HTMLPDF | 460-20C-120 | Reserve and custody requirements. |
| HTMLPDF | 460-20C-130 | Books and records of broker-dealers. |
| HTMLPDF | 460-20C-140 | Financial reporting requirements. |
| HTMLPDF | 460-20C-150 | Supervision of salespersons and employees. |
| HTMLPDF | 460-20C-160 | Fraudulent practices of broker-dealers and salespersons. |
| HTMLPDF | 460-20C-170 | Excessive trading. |
| HTMLPDF | 460-20C-180 | Transmission or maintenance of payments received in connection with underwritings. |
| HTMLPDF | 460-20C-190 | Communications with the public. |
| HTMLPDF | 460-20C-200 | Deferred variable annuities. |
| HTMLPDF | 460-20C-210 | Dishonest or unethical practices—Broker-dealers. |
| HTMLPDF | 460-20C-220 | Dishonest or unethical practices—Salespersons. |
