The Washington Securities Division has proposed amendments to Washington’s rules concerning broker-dealers and salespersons of broker-dealers. The proposed rulemaking would repeal the existing rules in Chapters 460-20B, 460-21B, and 460-22B WAC and replace them with a new combined chapter titled Chapter 460-20C WAC.
The proposed amendments update the rules consistent with current federal law and FINRA rules, incorporate current NASAA model rules, update the application filing procedures and registration requirements for broker-dealers and salespersons, and make other updates as described in the Notice of Proposed Rule Making (Form CR-102).
Rulemaking Documents
Rulemaking Comments
The Securities Division will accept written comments on the proposed rules until June 25, 2024. Please submit your comments by email to jill.vallely@dfi.wa.gov, or mail them to Jill Vallely, P.O Box 41200, Olympia, WA 98504-1200.
Rulemaking Hearing
The Securities Division will hold a hearing on the proposed rules on June 26, 2024 at 10:30 a.m. at our office at 150 Israel Rd. SW, Tumwater, Washington, 98501.
Contact
Phone: (360) 902-8760
Email: jill.vallely@dfi.wa.gov