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WACs
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Title 460
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Chapter 460-21B
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[In English]
Chapter 460-21B WAC
Last Update: 6/19/08
BROKER-DEALER PRACTICES
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Show Dispositions
WAC Sections
460-21B-008
Fraudulent practices of broker-dealers.
460-21B-010
Churning.
460-21B-020
Transmission or maintenance of payments received in connection with underwritings.
460-21B-030
Minimum net capital requirement for broker-dealers.
460-21B-040
Net capital defined.
460-21B-050
Books and records of broker-dealers.
460-21B-060
Dishonest or unethical business practices -- Broker-dealers.
460-21B-070
Supervision of securities salespersons.