Chapter 460-20B WAC

Last Update: 4/29/14

BROKER-DEALER REGISTRATION

WAC Sections

HTMLPDF460-20B-010Application.
HTMLPDF460-20B-020Definitions.
HTMLPDF460-20B-030Registration procedure.
HTMLPDF460-20B-035Canadian broker-dealers and salespersons.
HTMLPDF460-20B-040Examination requirements.
HTMLPDF460-20B-050Expiration of broker-dealer license, renewal procedure, and delinquency fees.
HTMLPDF460-20B-060Notice of changes by broker-dealers.