Washington Administrative Code (Last Updated: November 23, 2016) |
Title 460. Financial Institutions, Department of (Securities Division) |
Chapter 460-21C. Broker-dealer services at financial institutions. |
Section 460-21C-005. Application.
Latest version.
- (1) The rules in this chapter apply exclusively to broker-dealer services conducted by broker-dealers on the premises of a financial institution where retail deposits are taken.(2) These rules do not alter or abrogate a broker-dealer's obligations to comply with other applicable laws, rules, or regulations that may govern the operations of broker-dealers and their agents, including, but not limited to, supervisory obligations.(3) These rules do not apply to broker-dealer services provided to nonretail customers.