Last Update: 4/12/17

Chapter 460-44A WAC

EXEMPT TRANSACTIONS

WAC Sections

Isolated transactionsSales not involving a public offering.
Definition of real estate mortgages when "offered and sold as a unit."
Nonissuer transactions pursuant to RCW 21.20.320(2)Manual exemption.
Nonissuer transactions pursuant to RCW 21.20.320(2)Senior securities.
Exemption from registration for secondary transactions pursuant to RCW 21.20.320(15).
Exemption for offers and sales to accredited investors pursuant to a public solicitation.
Preliminary notes.
Definitions and terms.
General conditions to be met.
Filing of notice and payment of fee.
Exemption for limited offers and sales of securities not exceeding $1,000,000 to not more than twenty purchasers.
Conditions pertaining to the offer and sale of securities pursuant to Rule 506 of the Securities Act of 1933.
Insignificant deviations from a term, condition, or requirement of WAC 460-44A-501 through 460-44A-505.
DISPOSITION OF SECTIONS FORMERLY CODIFIED IN THIS CHAPTER
460-44A-010
Nonpublic offering exemption pursuant to RCW 21.20.320(1). [Statutory Authority: RCW 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-010, filed 3/19/80; Order SD-130-77, § 460-44A-010, filed 11/23/77; Order 342, § 460-44A-010, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-020
Text of rule. [Statutory Authority: RCW 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-020, filed 3/19/80; Order SD-130-77, § 460-44A-020, filed 11/23/77; Order 342, § 460-44A-020, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-030
Selling expense limitations and suitability standards for nonpublic offerings. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-030, filed 3/19/80; Order SD-130-77, § 460-44A-030, filed 11/23/77; Order 342, § 460-44A-030, filed 9/29/75.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-040
Form of notification of claim of exemption and report of sales. [Order SD-130-77, § 460-44A-040, filed 11/23/77.] Repealed by WSR 80-04-037 (Order SDO-37-80), filed 3/19/80. Statutory Authority: RCW 21.20.450.
460-44A-041
Form of notification of claim of exemption pursuant to WAC 460-44A-010 through 460-44A-041. [Statutory Authority: RCW 21.20.320 (1) and (9). WSR 80-04-037 (Order SDO-37-80), § 460-44A-041, filed 3/19/80.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-045
Report of sales for offering under WAC 460-44A-020. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-045, filed 3/19/80.] Repealed by WSR 82-21-031 (Order SDO-98-82), filed 10/15/82. Statutory Authority: RCW 21.20.320(1) and 21.20.450.
460-44A-060
Limited offering exemption pursuant to RCW 21.20.320(9). [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-060, filed 3/19/80; Order SD-130-77, § 460-44A-060, filed 11/23/77.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-065
Notification of claim of exemption pursuant to WAC 460-44A-060. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-065, filed 3/19/80.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-070
Report of sales for offering under WAC 460-44A-060. [Statutory Authority: RCW 21.20.320 (1) and (9), and 21.20.450. WSR 80-04-037 (Order SDO-37-80), § 460-44A-070, filed 3/19/80.] Repealed by WSR 90-09-059, filed 4/17/90, effective 5/18/90. Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9) and (17) and 21.20.340(11).
460-44A-505
Uniform offering exemption for limited offers and sales of securities not exceeding $5,000,000. [Statutory Authority: RCW 21.20.450, 21.20.320 (1), (9), (17). WSR 08-16-072, § 460-44A-505, filed 7/31/08, effective 9/15/08. Statutory Authority: RCW 21.20.450. WSR 94-03-061, § 460-44A-505, filed 1/14/94, effective 2/14/94. Statutory Authority: RCW 21.20.320 (1) and (16) and 21.20.450. WSR 89-17-076 (Order SDO-122-89), § 460-44A-505, filed 8/17/89, effective 9/17/89. Statutory Authority: RCW 21.20.320(16) and 21.20.450. WSR 88-15-024 (Order SDO-71-88), § 460-44A-505, filed 7/12/88. Statutory Authority: RCW 21.20.320(17) and 21.20.340(11). WSR 86-15-003 (Order SDO-80-86), § 460-44A-505, filed 7/3/86.] Repealed by WSR 17-09-033, filed 4/12/17, effective 5/13/17. Statutory Authority: RCW 21.20.450, 21.20.320(17).
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