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Chapter 460-21B WAC

Last Update: 6/19/08

BROKER-DEALER PRACTICES

WAC Sections

Fraudulent practices of broker-dealers.
Churning.
Transmission or maintenance of payments received in connection with underwritings.
Minimum net capital requirement for broker-dealers.
Net capital defined.
Books and records of broker-dealers.
Dishonest or unethical business practices—Broker-dealers.
Supervision of securities salespersons.