Chapter 460-21B WAC

Last Update: 4/29/14

BROKER-DEALER PRACTICES

WAC Sections

HTMLPDF460-21B-008Fraudulent practices of broker-dealers.
HTMLPDF460-21B-010Churning.
HTMLPDF460-21B-020Transmission or maintenance of payments received in connection with underwritings.
HTMLPDF460-21B-030Minimum net capital requirement for broker-dealers.
HTMLPDF460-21B-040Net capital defined.
HTMLPDF460-21B-050Books and records of broker-dealers.
HTMLPDF460-21B-060Dishonest or unethical business practices—Broker-dealers.
HTMLPDF460-21B-070Supervision of securities salespersons.
DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS TITLE
460-21B-080Written procedures. [Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 95-16-026, § 460-21B-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 Repealed by WSR 97-03-122, filed 1/22/97, effective 2/22/97.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.