WSR 97-08-054
POLICY STATEMENT
DEPARTMENT OF
FINANCIAL INSTITUTIONS
(Securities Division)
[Filed April 1, 1997, 8:35 a.m.]
Subjects: (1) Securities Act Policy Statement - 18; Washington Municipal Security Notice Filing and Fee Requirements Pursuant to the National Securities Markets Improvement Act of 1996 (new).
(2) Securities Act Policy Statement - 19; Washington Investment Adverser [Advisor] and Representative Notice Filing and Fee Requirements Pursuant to the National Securities Markets Improvement Act of 1996 (new).
(3) Securities Act Interpretive Statement - 08; Isolated Transactions/Nonpublic Offerings - RCW 21.20.320(1) (amended).
(4) Securities Act Interpretive Statement - 15; WAC 460-44A-506 (2)(B)--Indeterminate Underwriters Compensation in private placements (repealed).
(5) Securities Act Policy Statement - 17; Washington Investment Company Notice Filing and Fee Requirements Pursuant to the National Securities Markets Improvement Act of 1996 (amended).
To receive a copy of any of the interpretive and policy statements contact Kelli Skeels, Department of Financial Institutions, Securities Division, P.O. Box 9033, Olympia, WA 98507-9033, phone (360) 902-8760, FAX (360) 586-5068, e-mail kskeels@dfi.wa.gov.
William M. Beatty
Senior Securities Examiner