Chapter 460-22B WAC

Last Update: 4/29/14

SALESPERSONS OF BROKER-DEALERS

WAC Sections

HTMLPDF460-22B-010Application.
HTMLPDF460-22B-020Cross-reference to other sections relating to securities salespersons.
HTMLPDF460-22B-030Registration procedure.
HTMLPDF460-22B-040Salesperson registration and examination.
HTMLPDF460-22B-050Expiration of salesperson license, renewal procedure, and delinquency fees.
HTMLPDF460-22B-060Duty to update application.
HTMLPDF460-22B-090Dishonest and unethical business practices—Salespersons.
DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE
460-22B-070Dual 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 Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97.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-080Receipt 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 Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97.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.