WASHINGTON ADMINISTRATIVE CODE ARCHIVE

Washington Administrative Code
2023 Archive

Chapter 460-16A WAC

Last Update: 2/4/19

GENERAL RULES

PDF of Chapter Digest


WAC Sections
460-16A-005	Application.
460-16A-010	Appearance and practice before the securities division.
460-16A-015	Electronic or telephonic submissions.
460-16A-020	Interpretive opinions and no-action letters.
460-16A-025	Applications and reports.
460-16A-030	Payment of fees and refunds.
460-16A-033	Renewal of registration of securities by coordination.
460-16A-036	Renewal of registration of securities by qualification.
460-16A-040	Voting rights of preferred stocks.
460-16A-045	Protective provisions for preferred shares.
460-16A-050	Opinion of counsel.
460-16A-055	Corporate resolution.
460-16A-065	Convertible senior securities.
460-16A-070	Assessments.
460-16A-080	Subscription agreement.
460-16A-115	Reimbursement of expenses incurred by promoters.
460-16A-120	Price variance.
460-16A-125	Prospectus or offering circular.
460-16A-126	Annual revision of offering circular.
460-16A-127	Offering registered with the Securities and Exchange Commission ("SEC").
460-16A-180	Technical reports.
460-16A-185	Technical reports prepared by state employee.
460-16A-200	Debt offering standards.
460-16A-205	Adoption of NASAA statements of policy.
460-16A-390	Notice of termination of offering—Change of officers.

DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE


460-16A-035	Voting rights of common stock. [Order 304, § 460-16A-035, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-075	Selling expenses. [Order 304, § 460-16A-075, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-085	Options to underwriters. [Statutory Authority: RCW 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-16A-085, filed 3/19/80; Order 304, § 460-16A-085, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 93-01-075, filed 12/14/92, effective 1/14/93. Statutory Authority: RCW 21.20.450.
460-16A-090	Pro rata options to shareholders. [Order 304, § 460-16A-090, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-095	Options to purchasers of debt securities. [Order 304, § 460-16A-095, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-100	Number of outstanding options. [Order 304, § 460-16A-100, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-101	Application to promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-101, filed 1/11/88.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-102	Definitions applicable to promotional shares. [Statutory Authority: RCW 21.20.450. WSR 91-04-008, § 460-16A-102, filed 1/25/91, effective 2/25/91. Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-102, filed 1/11/88.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-103	Amount of promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-103, filed 1/11/88.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-104	Escrow of promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-104, filed 1/11/88.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-105	Release provisions. [Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-105, filed 1/11/88; Order 304, § 460-16A-105, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-106	Terms of escrow. [Statutory Authority: RCW 21.20.250 and 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-106, filed 1/11/88; Order 304, § 460-16A-106, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-107	Amount of cheap stock. [Order 304, § 460-16A-107, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-108	Inapplicability of restrictions on amounts of promotional shares. [Statutory Authority: RCW 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-108, filed 1/11/88; WSR 82-20-067 (Order SDO-115-82), § 460-16A-108, filed 10/5/82.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-109	Hi-tech exemption from promotional shares rules. [Statutory Authority: RCW 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-109, filed 1/11/88. Statutory Authority: RCW 21.20.280(8) and 21.20.450. WSR 84-07-043 (Order SDO-39-84), § 460-16A-109, filed 3/21/84.] Repealed by WSR 95-17-068, filed 8/16/95, effective 9/16/95. Statutory Authority: RCW 21.20.450.
460-16A-110	Rights of promotional shares. [Statutory Authority: RCW 21.20.450. WSR 88-03-015 (Order SDO-164A-87), § 460-16A-110, filed 1/11/88; Order 304, § 460-16A-110, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-111	Equity investment of promoters. [Statutory Authority: RCW 21.20.450. WSR 96-11-020, § 460-16A-111, filed 5/6/96, effective 6/6/96; Order SD-131-77, § 460-16A-111, filed 11/23/77.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-130	Escrow. [Order 304, § 460-16A-130, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-135	Operation of escrow. [Order SD-131-77, § 460-16A-135, filed 11/23/77; Order 304, § 460-16A-135, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-140	Consent to transfer escrowed shares. [Order 304, § 460-16A-140, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-145	Restrictions on dividends/distribution for promotional shares. [Order 304, § 460-16A-145, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 88-03-015 (Order SDO-164A-87), filed 1/11/88. Statutory Authority: RCW 21.20.450.
460-16A-150	Imposition of impound condition. [Statutory Authority: RCW 21.20.450. WSR 96-11-024, § 460-16A-150, filed 5/6/96, effective 6/6/96; Order SD-131-77, § 460-16A-150, filed 11/23/77; Order 304, § 460-16A-150, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-155	Operation of impound condition. [Order 304, § 460-16A-155, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-156	Source of impound deposits. [Statutory Authority: RCW 21.20.250. WSR 79-09-028 (Order SD-57-79), § 460-16A-156, filed 8/14/79.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-160	Subscription agreements and purchase receipts. [Order 304, § 460-16A-160, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-165	Depositary. [Order 304, § 460-16A-165, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-170	Release of impounds. [Statutory Authority: RCW 21.20.450. WSR 79-09-028 (Order SD-57-79), § 460-16A-170, filed 8/14/79; Order 304, § 460-16A-170, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-175	Failure to comply with impound condition. [Order 304, § 460-16A-175, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-190	Petition for repeal or adoption of new rules. [Order 304, § 460-16A-190, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.
460-16A-210	Prohibited practices with regard to preferred stock. [Statutory Authority: RCW 21.20.450. WSR 93-01-074, § 460-16A-210, filed 12/14/92, effective 1/14/93.] Repealed by WSR 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.