WASHINGTON ADMINISTRATIVE CODE ARCHIVE

Washington Administrative Code
2019 Archive

Chapter 460-22B WAC

Last Update: 4/29/14

SALESPERSONS OF BROKER-DEALERS

PDF of Chapter Digest


WAC Sections
460-22B-010	Application.
460-22B-020	Cross-reference to other sections relating to securities salespersons.
460-22B-030	Registration procedure.
460-22B-040	Salesperson registration and examination.
460-22B-050	Expiration of salesperson license, renewal procedure, and delinquency fees.
460-22B-060	Duty to update application.
460-22B-090	Dishonest and unethical business practices—Salespersons.

DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE


460-22B-070	Dual representation and affiliation. [Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 95-16-026, § 460-22B-070, 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 Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97.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.
460-22B-080	Receipt of both securities sales commission and investment adviser fees. [Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 95-16-026, § 460-22B-080, 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 Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97.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.