Search

Chapter 460-24A WAC

Last Update: 6/12/14

INVESTMENT ADVISERS

WAC Sections

Definitions.
Application of rules to out-of-state investment advisers.
Investment adviser representatives employed by federal covered advisers.
Use of the term "investment counsel" is prohibited.
Definition of "client" of an investment adviser.
Use of certain terms deemed similar to "financial planner" or "investment counselor."
Holding out as a financial planner.
Electronic filing with designated entity.
Registration and examination requirements.
Effective date of license.
Renewal of investment adviser and investment adviser representative registration—Delinquency fees.
Pending application—Notice of termination—Application for continuation.
Financial reporting requirements for investment advisers.
Notice filing requirements for federal covered advisers.
Registration exemption for investment advisers to private funds.
Registration exemption for investment advisers to venture capital funds.
Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status.
Advertisements by investment advisers.
Requirements for an investment adviser that has custody or possession of client funds or securities.
Additional custody requirements for an investment adviser that directly deducts fees from client accounts.
Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust.
Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust.
Exceptions from custody requirements.
Agency cross transactions.
Compliance procedures and practices.
Proxy voting.
Contents of investment advisory contract.
Guarantees of success are prohibited.
Investment adviser brochure rule.
Performance compensation arrangements.
Restrictions on advertising refunds.
Minimum financial requirements for investment advisers.
Books and records to be maintained by investment advisers.
Notice of changes by investment advisers and investment adviser representatives.
Notice of complaint must be filed with director.
Unethical business practices—Investment advisers and federal covered advisers.