Washington Securities Division Issues Notice of Proposed Rule to Adjust Investment Adviser and Broker-Dealer Fees

The Securities Division of the Washington Department of Financial Institutions has proposed to adjust the filing fees required for initial and renewal applications for registration as an investment adviser, broker-dealer, investment adviser representative, and securities salesperson, in addition to the initial and renewal and notice filing fees for federal covered advisers, upward by $10.00 to defray the costs of administering the Securities Act of Washington, chapter 21.20, pursuant to RCW 21.20.340 and RCW 43.320.110 as amended by Senate Bill 6024 (2018).

A rulemaking hearing is scheduled on July 26, 2018 at the Dept. of Financial Institutions, 150 Israel Road SW, Room 319, Tumwater, WA 98501.

For details and to learn how to submit comments, please click here.

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Regulatory Activity, State Rule Proposals