Washington · Regulations
Chapter 460-24A — INVESTMENT ADVISERS
40 sections
40 sections
- WAC 460-24A-005WAC 460-24A-005. Definitions
- WAC 460-24A-010WAC 460-24A-010. Application of rules to out-of-state investment advisers
- WAC 460-24A-020WAC 460-24A-020. Investment adviser representatives employed by federal covered advisers
- WAC 460-24A-030WAC 460-24A-030. Use of the term "investment counsel" is prohibited
- WAC 460-24A-035WAC 460-24A-035. Counting of clients for registration purposes
- WAC 460-24A-040WAC 460-24A-040. Use of certain terms deemed similar to "financial planner" or "investment counselor."
- WAC 460-24A-045WAC 460-24A-045. Holding out as a financial planner
- WAC 460-24A-047WAC 460-24A-047. Electronic filing
- WAC 460-24A-050WAC 460-24A-050. Registration and examination requirements
- WAC 460-24A-055WAC 460-24A-055. Effective date of registration
- WAC 460-24A-057WAC 460-24A-057. Renewal of investment adviser and investment adviser representative registration — Delinquency fees
- WAC 460-24A-059WAC 460-24A-059. Pending application—Notice of termination—Application for continuation
- WAC 460-24A-060WAC 460-24A-060. Financial reporting requirements for investment advisers
- WAC 460-24A-070WAC 460-24A-070. Notice filing requirements for federal covered advisers
- WAC 460-24A-071WAC 460-24A-071. Registration exemption for investment advisers to private funds
- WAC 460-24A-072WAC 460-24A-072. Registration exemption for investment advisers to venture capital funds
- WAC 460-24A-080WAC 460-24A-080. Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status
- WAC 460-24A-100WAC 460-24A-100. Advertisements and written client communications by investment advisers
- WAC 460-24A-105WAC 460-24A-105. Requirements for an investment adviser that has custody or possession of client funds or securities
- WAC 460-24A-106WAC 460-24A-106. Additional custody requirements for an investment adviser that directly deducts fees from client accounts
- WAC 460-24A-107WAC 460-24A-107. Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust
- WAC 460-24A-108WAC 460-24A-108. Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust
- WAC 460-24A-109WAC 460-24A-109. Exceptions from custody requirements
- WAC 460-24A-110WAC 460-24A-110. Agency cross transactions
- WAC 460-24A-120WAC 460-24A-120. Compliance procedures and practices
- WAC 460-24A-122WAC 460-24A-122. Material nonpublic information policies and procedures
- WAC 460-24A-125WAC 460-24A-125. Proxy voting
- WAC 460-24A-126WAC 460-24A-126. Business continuity and succession plan
- WAC 460-24A-130WAC 460-24A-130. Contents of investment advisory contract
- WAC 460-24A-135WAC 460-24A-135. Dissemination of advisory fee billing information for advisers who do not directly deduct fees
- WAC 460-24A-140WAC 460-24A-140. Guarantees of success are prohibited
- WAC 460-24A-145WAC 460-24A-145. Investment adviser brochure rule
- WAC 460-24A-150WAC 460-24A-150. Performance compensation arrangements
- WAC 460-24A-160WAC 460-24A-160. Restrictions on advertising refunds
- WAC 460-24A-170WAC 460-24A-170. Minimum net worth requirements for investment advisers
- WAC 460-24A-190WAC 460-24A-190. Training regarding vulnerable adults
- WAC 460-24A-200WAC 460-24A-200. Books and records to be maintained by investment advisers
- WAC 460-24A-205WAC 460-24A-205. Notice of changes by investment advisers and investment adviser representatives
- WAC 460-24A-210WAC 460-24A-210. Notice of complaint must be filed with director
- WAC 460-24A-220WAC 460-24A-220. Unethical business practices — Investment advisers and federal covered advisers