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Washington Administrative Code (Last Updated: November 23, 2016) |
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Title 460. Financial Institutions, Department of (Securities Division) |
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Chapter 460-21B. Broker-dealer practices. |
| Section 460-21B-008. Fraudulent practices of broker-dealers. |
| Section 460-21B-010. Churning. |
| Section 460-21B-020. Transmission or maintenance of payments received in connection with underwritings. |
| Section 460-21B-030. Minimum net capital requirement for broker-dealers. |
| Section 460-21B-040. Net capital defined. |
| Section 460-21B-050. Books and records of broker-dealers. |
| Section 460-21B-060. Dishonest or unethical business practices—Broker-dealers. |
| Section 460-21B-070. Supervision of securities salespersons. |