Washington Administrative Code (Last Updated: November 23, 2016) |
Title 460. Financial Institutions, Department of (Securities Division) |
Chapter 460-24A. Investment advisers. |
Section 460-24A-040. Use of certain terms deemed similar to "financial planner" or "investment counselor."
Latest version.
- (1) For the purposes of RCW 21.20.040(4), use of any term, or abbreviation for a term, including the word "financial planner" or the word "investment counselor" is considered the same as the use of either of those terms alone.(2) For the purposes of RCW 21.20.040(4), terms that are deemed similar to "financial planner" and "investment counselor" include, but are not limited to, the following:(a) Financial consultant;(b) Investment consultant;(c) Money manager;(d) Investment manager;(e) Investment planner;(f) Chartered financial consultant or its abbreviation ChFC; or(g) The abbreviation CFP®.[Statutory Authority: RCW 21.20.005, 21.20.020, 21.20.030, 21.20.040, 21.20.050, 21.20.060, 21.20.070, 21.20.080, 21.20.090, 21.20.100, 21.20.330, 21.20.340, 21.20.450, and 21.20.702. WSR 14-13-068, § 460-24A-040, filed 6/12/14, effective 7/13/14. Statutory Authority: RCW 21.20.450. WSR 00-01-001, § 460-24A-040, filed 12/1/99, effective 1/1/00; WSR 97-16-050, § 460-24A-040, filed 7/31/97, effective 8/31/97. Statutory Authority: RCW 21.20.040(2) and 21.20.450. WSR 93-01-113, § 460-24A-040, filed 12/21/92, effective 1/21/93; WSR 90-13-029, § 460-24A-040, filed 6/12/90, effective 7/13/90.]
RCW 21.20.005, 21.20.020, 21.20.030, 21.20.040, 21.20.050, 21.20.060, 21.20.070, 21.20.080, 21.20.090, 21.20.100, 21.20.330, 21.20.340, 21.20.450, and 21.20.702. WSR 14-13-068, § 460-24A-040, filed 6/12/14, effective 7/13/14. Statutory Authority: RCW 21.20.450. WSR 00-01-001, § 460-24A-040, filed 12/1/99, effective 1/1/00; WSR 97-16-050, § 460-24A-040, filed 7/31/97, effective 8/31/97. Statutory Authority: RCW 21.20.040(2) and 21.20.450. WSR 93-01-113, § 460-24A-040, filed 12/21/92, effective 1/21/93; WSR 90-13-029, § 460-24A-040, filed 6/12/90, effective 7/13/90.