|
| WAC Sections |
| 460-24A-005 | Definitions. |
| 460-24A-010 | Application of rules to out-of-state investment advisers. |
| 460-24A-020 | Investment adviser representatives employed by federal covered advisers. |
| 460-24A-030 | Use of the term "investment counsel" is prohibited. |
| 460-24A-035 | Counting of clients for registration purposes. |
| 460-24A-040 | Use of certain terms deemed similar to "financial planner" or "investment counselor." |
| 460-24A-045 | Holding out as a financial planner. |
| 460-24A-047 | Electronic filing. |
| 460-24A-050 | Registration and examination requirements. |
| 460-24A-055 | Effective date of registration. |
| 460-24A-057 | Renewal of investment adviser and investment adviser representative registration—Delinquency fees. |
| 460-24A-059 | Pending application—Notice of termination—Application for continuation. |
| 460-24A-060 | Financial reporting requirements for investment advisers. |
| 460-24A-070 | Notice filing requirements for federal covered advisers. |
| 460-24A-071 | Registration exemption for investment advisers to private funds. |
| 460-24A-072 | Registration exemption for investment advisers to venture capital funds. |
| 460-24A-080 | Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status. |
| 460-24A-100 | Advertisements and written client communications by investment advisers. |
| 460-24A-105 | Requirements for an investment adviser that has custody or possession of client funds or securities. |
| 460-24A-106 | Additional custody requirements for an investment adviser that directly deducts fees from client accounts. |
| 460-24A-107 | Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust. |
| 460-24A-108 | Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust. |
| 460-24A-109 | Exceptions from custody requirements. |
| 460-24A-110 | Agency cross transactions. |
| 460-24A-120 | Compliance procedures and practices. |
| 460-24A-122 | Material nonpublic information policies and procedures. |
| 460-24A-125 | Proxy voting. |
| 460-24A-126 | Business continuity and succession plan. |
| 460-24A-130 | Contents of investment advisory contract. |
| 460-24A-135 | Dissemination of advisory fee billing information for advisers who do not directly deduct fees. |
| 460-24A-140 | Guarantees of success are prohibited. |
| 460-24A-145 | Investment adviser brochure rule. |
| 460-24A-150 | Performance compensation arrangements. |
| 460-24A-160 | Restrictions on advertising refunds. |
| 460-24A-170 | Minimum net worth requirements for investment advisers. |
| 460-24A-190 | Training regarding vulnerable adults. |
| 460-24A-200 | Books and records to be maintained by investment advisers. |
| 460-24A-205 | Notice of changes by investment advisers and investment adviser representatives. |
| 460-24A-210 | Notice of complaint must be filed with director. |
| 460-24A-220 | Unethical business practices—Investment advisers and federal covered advisers. |
| |
| 460-24A-046 | Dual representation and affiliation. [Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 95-16-026, § 460-24A-046, 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. |
| 460-24A-058 | Completion of filing. [Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. WSR 01-16-125, § 460-24A-058, filed 7/31/01, effective 10/24/01.] Repealed by WSR 14-13-068, filed 6/12/14, effective 7/13/14. Statutory Authority: RCW 21.20.005, 21.20.020, 21.20.030, 21.20.040, 21.20.050, 21.20.060, 21.20.070, 21.20.080, 21.20.090, 21.20.100, 21.20.330, 21.20.340, 21.20.450, and 21.20.702. |