Washington State Statutes - Washington Attorney Directory

21.20.005		Definitions.
21.20.010		Unlawful offers, sales, purchases.
21.20.020		Unlawful acts of person advising another.
21.20.030		Unlawful acts of investment adviser.
21.20.035		Unlawful purchases or sales for customer's account.
21.20.037		Variable contracts -- Registration required -- Rules.
21.20.040		Registration and notification required -- Exemptions.
21.20.050		Application for registration -- Filing of documents -- Consent to service of process -- Fee.
21.20.060		Contents of application for registration -- Capital requirements.
21.20.070		When registration effective -- Requirements determined by rule.
21.20.080		Duration of registration -- Association with issuer, broker-dealer, federal covered adviser, or investment adviser -- Notice to director -- Extension of licensing period.
21.20.090		Renewal of registration -- Financial reports -- Application for a successor.
21.20.100		Accounts, correspondence, memoranda, papers, books, and other records -- Release of information -- Correction of filed document -- Examination.
21.20.110		Director may deny, suspend, revoke, restrict, condition, or limit any application or registration -- Director may censure or fine registrant -- Grounds -- Procedures -- Costs -- Accounting.
21.20.120		Denial, suspension, revocation of registration -- Order -- Request for, notice of hearing -- Findings and conclusions.
21.20.130		Cancellation of registration or application -- Grounds.
21.20.135		License as salesperson or broker-dealer prerequisite to suit for commission.
21.20.140		Unlawful to offer or sell unregistered securities -- Exceptions.
21.20.180		Registration by coordination -- Requirements -- Statement, contents.
21.20.190		Time of taking effect of registration statement by coordination -- Conditions -- "Price amendment", notification.
21.20.200		Failure to notify of price amendment, proof of compliance -- Stop order -- Waiver of certain conditions.
21.20.210		Registration by qualification -- Statements -- Requirements -- Audits.
21.20.220		Information not required when nonissuer distribution.
21.20.230		Time of taking effect of registration statement by qualification -- Conditions.
21.20.240		Registration statements -- Generally.
21.20.250		Registration by qualification or coordination -- Escrow -- Impounding proceeds.
21.20.260		Registration by coordination or qualification -- Offer and sale -- Duration of effectiveness.
21.20.270		Reports by filer of statement -- Annual financial statements.
21.20.275		Pending registration -- Notice of termination -- Application for continuation.
21.20.280		Stop orders -- Grounds.
21.20.290		Stop order prohibited if facts known on effective date of statement.
21.20.300		Notification of entry of stop order -- Hearing -- Findings, conclusions, modification, etc.
21.20.310		Securities exempt from registration.
21.20.320		Exempt transactions.
21.20.325		Denial, revocation, condition, of exemptions -- Authority -- Procedure.
21.20.327		Required filings -- Consent to service -- Failure to comply -- Rules -- Fees.
21.20.330		Consent to service of process -- Service, how made.
21.20.340		Fees -- Disposition.
21.20.350		False or misleading statements in filed documents.
21.20.360		Filing, registration, statement, exemption not conclusive as to truth or completeness -- Unlawful representations.
21.20.370		Investigations -- Statement of facts relating to investigation may be permitted -- Publication of information -- Use of criminal history record information.
21.20.380		Oaths -- Subpoenas -- Assisting another state -- Compelling obedience -- Punishment.
21.20.390		Injunction, cease and desist order, restraining order, mandamus -- Appointment of receiver or conservator for insolvent -- Restitution or damages -- Costs -- Accounting.
21.20.395		Administrative action -- Hearing -- Judicial review -- Judgment.
21.20.400		Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 288).
21.20.400		Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 53).
21.20.410		Attorney general, prosecuting attorney may institute criminal proceeding -- Referral of evidence by director.
21.20.420		Criminal punishment, chapter not exclusive.
21.20.430		Civil liabilities -- Survival, limitation of actions -- Waiver of chapter void -- Scienter.
21.20.435		Assurance of discontinuance of violations -- Acceptance -- Filing.
21.20.440		Judicial review of order -- Modification of order by director on additional evidence.
21.20.450		Administration of chapter -- Rules and forms, publication -- Cooperation with other state and federal authorities.
21.20.460		Administrator of securities -- Appointment, qualifications, term, etc.
21.20.470		Compensation, travel expenses of administrator and employees.
21.20.480		Unlawful use or disclosure of filed information.
21.20.490		No liability under chapter for act in good faith.
21.20.500		Administrative hearings public -- Exception.
21.20.510		Document filed when received -- Register -- Inspection of register, information, etc.
21.20.520		Copies of entries, documents to be furnished -- Copies as prima facie evidence.
21.20.530		Interpretative opinions by director.
21.20.540		Exemptions, exceptions, and preemptions -- Burden of proof.
21.20.550		State advisory committee -- Composition, appointment, qualifications.
21.20.560		State advisory committee -- Chairperson, secretary -- Meetings.
21.20.570		State advisory committee -- Terms -- Vacancies.
21.20.580		State advisory committee -- Duties.
21.20.590		State advisory committee -- Reimbursement of travel expenses.
21.20.700		Investigations and examinations -- Additional authority -- Scope.
21.20.702		Suitability of recommendation--Reasonable grounds required.
21.20.705		Debenture companies -- Definitions.
21.20.710		Debenture companies -- Capital requirements.
21.20.715		Debenture companies -- Maturity date requirements.
21.20.717		Debenture companies -- Controlling person -- Exceptions.
21.20.720		Debenture companies -- Prohibited activities by directors, officers, or controlling persons.
21.20.725		Debenture companies -- Debentures payable on demand--Interest--Certificates of debenture.
21.20.727		Debenture companies -- Acquisition of control -- Requirements -- Violation -- Penalty.
21.20.730		Debenture companies -- Acquisition of control -- Grounds for disapproval.
21.20.732		Debenture companies -- Notice of charges -- Hearing -- Cease and desist orders.
21.20.734		Debenture companies -- Temporary cease and desist orders.
21.20.740		Reports -- Requirements.
21.20.745		Reports -- Violations of reporting requirements -- Penalties -- Contribution.
21.20.750		Reports -- Suspension of sale of securities until reporting requirements complied with.
21.20.800		Severability -- 1973 1st ex.s. c 171.
21.20.805		Effective date -- Construction -- 1973 1st ex.s. c 171.
21.20.810		Application of chapter not limited.
21.20.815		Debenture companies -- Equity investments.
21.20.820		Debenture companies -- Loans to any one borrower -- Limitations.
21.20.825		Debenture companies -- Bad debts.
21.20.830		Debenture companies -- Investments in unsecured loans.
21.20.835		Debenture companies -- Debenture holders -- Notice of maturity date of debenture.
21.20.840		Debenture companies -- Annual financial statement.
21.20.845		Debenture companies -- Rules.
21.20.850		Debenture companies -- Record maintenance and preservation -- Examination.
21.20.855		Debenture companies -- Examination reports and information -- Exempt from public disclosure -- Use in civil actions.
21.20.900		Construction to secure uniformity.
21.20.905		Severability -- 1959 c 282.
21.20.910		Saving -- Civil, criminal proceedings.
21.20.915		Saving -- Prior effective registrations.
21.20.920		Application of prior law.
21.20.925		Judicial review of prior administrative orders.
21.20.930		Solicitation permits under insurance laws not limited.
21.20.935		Repealer.
21.20.940		Short title.

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