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Chapter 460-24A WAC

Last Update: 4/30/12

INVESTMENT ADVISERS

WAC Sections

Definitions.
Investment advisers—Where rules apply.
Investment adviser representatives employed by federal covered advisers.
Use of the term "investment counsel."
Use of certain terms.
Holding out as a financial planner.
Electronic filing with designated entity.
Investment adviser and investment adviser representative registration and examinations.
Effective date of license.
Renewal of investment adviser and investment adviser representative registration—Delinquency fees.
Completion of filing.
Financial statements required on investment advisers.
Notice filings for federal covered advisers.
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.
Custody requirements for an investment adviser that manages a pooled investment vehicle or trust.
Custody requirements for an investment adviser that acts as trustee and investment adviser to a trust.
Exceptions from custody requirements.
Agency cross transactions.
Guarantees of success.
Investment adviser brochure rule.
Performance compensation arrangements.
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.
Unethical business practices—Investment advisers and federal covered advisers.