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