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Last Update: 4/29/14

Chapter 460-21B WAC


WAC Sections

Fraudulent practices of broker-dealers.
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.