Statutes, codes, and regulations
Washington Administrative Code
Title 460 - Financial Institutions, Department of (Securities Division)
Chapter 460-24A - Investment advisers
Section 460-24A-210 - Notice of complaint must be filed with director

Wash. Admin. Code § 460-24A-210

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Current through Register Vol. 24-21, November 1, 2024
Section 460-24A-210 - Notice of complaint must be filed with director

If you are an investment adviser registered or required to be registered pursuant to RCW 21.20.040 who has filed a complaint against any of your partners, officers, directors, agents registered in Washington or associated persons with any law enforcement agency, any other regulatory agency having jurisdiction over the securities industry, or with any bonding company regarding any loss arising from alleged acts of such person, you must send a copy of such complaint to the director, within ten days following its filing with such other agency or bonding company.

Wash. Admin. Code § 460-24A-210

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, 21.20.050, 21.20.100. 01-16-125, § 460-24A-210, filed 7/31/01, effective 10/24/01; Order 304, § 460-24A-210, filed 2/28/75, effective 4/1/75. Formerly chapter 460-24 WAC.