WAC 460-21C-040:

WACs > Title 460 > Chapter 460-21C > Section 460-21C-040

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460-21C-030 << 460-21C-040 >> End of Chapter

No agency filings affecting this section since 2003

PDFWAC 460-21C-040

Notification of termination.

The broker-dealer must promptly notify the financial institution if any agent of the broker-dealer who is employed by the financial institution is terminated for cause by the broker-dealer.

[Statutory Authority: RCW 21.20.100, 21.20.450. WSR 00-05-055, § 460-21C-040, filed 2/14/00, effective 3/16/00.]