Wash. Admin. Code § 460-24A-040

Current through Register Vol. 24-12, June 15, 2024

Section 460-24A-040 - Use of certain terms deemed similar to "financial planner" or "investment counselor"

(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;

(g) Certified financial planner or its abbreviation CFP®; or

(h) Any combination of terms similar to the above if used in a manner that implies to the general public that the individual or entity using the terms is in the business of providing investment advisory or financial planning services.

Wash. Admin. Code § 460-24A-040

Amended by WSR 14-13-068, Filed 6/12/2014, effective 7/13/2014

Amended by WSR 19-03-133, Filed 1/18/2019, effective 2/18/2019

Statutory Authority: RCW 21.20.450. 00-01-001, § 460-24A-040, filed 12/1/99, effective 1/1/00; 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. 93-01-113, § 460-24A-040, filed 12/21/92, effective 1/21/93; 90-13-029, § 460-24A-040, filed 6/12/90, effective 7/13/90.