Washington Administrative Code (Last Updated: November 23, 2016) |
Title 460. Financial Institutions, Department of (Securities Division) |
Chapter 460-24A. Investment advisers. |
Section 460-24A-005. Definitions. |
Section 460-24A-010. Application of rules to out-of-state investment advisers. |
Section 460-24A-020. Investment adviser representatives employed by federal covered advisers. |
Section 460-24A-030. Use of the term "investment counsel" is prohibited. |
Section 460-24A-035. Definition of "client" of an investment adviser. |
Section 460-24A-040. Use of certain terms deemed similar to "financial planner" or "investment counselor." |
Section 460-24A-045. Holding out as a financial planner. |
Section 460-24A-047. Electronic filing with designated entity. |
Section 460-24A-050. Registration and examination requirements. |
Section 460-24A-055. Effective date of license. |
Section 460-24A-057. Renewal of investment adviser and investment adviser representative registration—Delinquency fees. |
Section 460-24A-059. Pending application—Notice of termination—Application for continuation. |
Section 460-24A-060. Financial reporting requirements for investment advisers. |
Section 460-24A-070. Notice filing requirements for federal covered advisers. |
Section 460-24A-071. Registration exemption for investment advisers to private funds. |
Section 460-24A-072. Registration exemption for investment advisers to venture capital funds. |
Section 460-24A-080. Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status. |
Section 460-24A-100. Advertisements by investment advisers. |
Section 460-24A-105. Requirements for an investment adviser that has custody or possession of client funds or securities. |
Section 460-24A-106. Additional custody requirements for an investment adviser that directly deducts fees from client accounts. |
Section 460-24A-107. Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust. |
Section 460-24A-108. Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust. |
Section 460-24A-109. Exceptions from custody requirements. |
Section 460-24A-110. Agency cross transactions. |
Section 460-24A-120. Compliance procedures and practices. |
Section 460-24A-125. Proxy voting. |
Section 460-24A-130. Contents of investment advisory contract. |
Section 460-24A-140. Guarantees of success are prohibited. |
Section 460-24A-145. Investment adviser brochure rule. |
Section 460-24A-150. Performance compensation arrangements. |
Section 460-24A-160. Restrictions on advertising refunds. |
Section 460-24A-170. Minimum financial requirements for investment advisers. |
Section 460-24A-200. Books and records to be maintained by investment advisers. |
Section 460-24A-205. Notice of changes by investment advisers and investment adviser representatives. |
Section 460-24A-210. Notice of complaint must be filed with director. |
Section 460-24A-220. Unethical business practices—Investment advisers and federal covered advisers. |