Chapter 460-21B WAC

Last Update: 4/29/14

BROKER-DEALER PRACTICES

WAC Sections

460-21B-008Fraudulent practices of broker-dealers.
460-21B-010Churning.
460-21B-020Transmission or maintenance of payments received in connection with underwritings.
460-21B-030Minimum net capital requirement for broker-dealers.
460-21B-040Net capital defined.
460-21B-050Books and records of broker-dealers.
460-21B-060Dishonest or unethical business practices—Broker-dealers.
460-21B-070Supervision of securities salespersons.
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