Chapter 460-44A WAC

Last Update: 12/10/19

EXEMPT TRANSACTIONS

WAC Sections

HTML PDF	460-44A-050	Isolated transactions—Sales not involving a public offering.
HTML PDF	460-44A-075	Definition of real estate mortgages when "offered and sold as a unit."
HTML PDF	460-44A-100	Nonissuer transactions pursuant to RCW 21.20.320(2)—Manual exemption.
HTML PDF	460-44A-110	Nonissuer transactions pursuant to RCW 21.20.320(2)—Senior securities.
HTML PDF	460-44A-200	Exemption from registration for secondary transactions pursuant to RCW 21.20.320(15).
HTML PDF	460-44A-300	Exemption for offers and sales to accredited investors pursuant to a public solicitation.
HTML PDF	460-44A-500	Preliminary notes.
HTML PDF	460-44A-501	Definitions and terms.
HTML PDF	460-44A-502	General conditions to be met.
HTML PDF	460-44A-503	Filing of notice and payment of fee.
HTML PDF	460-44A-504	Exemption for limited offers and sales of securities not exceeding $1,000,000 to not more than twenty purchasers.
HTML PDF	460-44A-506	Conditions pertaining to the offer and sale of securities pursuant to Rule 506 of the Securities Act of 1933.
HTML PDF	460-44A-508	Insignificant deviations from a term, condition, or requirement of WAC 460-44A-501 through 460-44A-505.

DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE


460-44A-010	Nonpublic offering exemption pursuant to RCW 21.20.320(1). [Statutory Authority: RCW 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-010, filed 3/19/80; Order SD-130-77, § 460-44A-010, filed 11/23/77; Order 342, § 460-44A-010, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-020	Text of rule. [Statutory Authority: RCW 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-020, filed 3/19/80; Order SD-130-77, § 460-44A-020, filed 11/23/77; Order 342, § 460-44A-020, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-030	Selling expense limitations and suitability standards for nonpublic offerings. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-030, filed 3/19/80; Order SD-130-77, § 460-44A-030, filed 11/23/77; Order 342, § 460-44A-030, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-040	Form of notification of claim of exemption and report of sales. [Order SD-130-77, § 460-44A-040, filed 11/23/77.] Repealed by WSR 80-04-037 (Order SDO-37-80), filed 3/19/80. Statutory Authority: RCW 21.20.450.
460-44A-041	Form of notification of claim of exemption pursuant to WAC 460-44A-010 through 460-44A-041. [Statutory Authority: RCW 21.20.320 (1) and (9). WSR 80-04-037 (Order SDO-37-80), § 460-44A-041, filed 3/19/80.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-045	Report of sales for offering under WAC 460-44A-020. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-045, filed 3/19/80.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-060	Limited offering exemption pursuant to RCW 21.20.320(9). [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-060, filed 3/19/80; Order SD-130-77, § 460-44A-060, filed 11/23/77.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-065	Notification of claim of exemption pursuant to WAC 460-44A-060. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-065, filed 3/19/80.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-070	Report of sales for offering under WAC 460-44A-060. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-070, filed 3/19/80.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-505	Uniform offering exemption for limited offers and sales of securities not exceeding $5,000,000. [Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9), (17). WSR 08-16-072, § 460-44A-505, filed 7/31/08, effective 9/15/08. Statutory Authority: RCW 21.20.450. WSR 94-03-061, § 460-44A-505, filed 1/14/94, effective 2/14/94. Statutory Authority: RCW 21.20.320 (1) and (16) and 21.20.450. WSR 89-17-076 (Order SDO-122-89), § 460-44A-505, filed 8/17/89, effective 9/17/89. Statutory Authority: RCW 21.20.320(16) and 21.20.450. WSR 88-15-024 (Order SDO-71-88), § 460-44A-505, filed 7/12/88. Statutory Authority: RCW 21.20.320(17) and 21.20.340(11). WSR 86-15-003 (Order SDO-80-86), § 460-44A-505, filed 7/3/86.] Repealed by WSR 17-09-033, filed 4/12/17, effective 5/13/17. Statutory Authority: RCW 21.20.450, 21.20.320(17).