July 6, 2007 

The Washington Securities Division is soliciting comments on the possible amendments of its rules to clarify that a person who uses a professional designation may be holding himself out as a financial planner, thereby necessitating registration as an investment adviser, and that the misleading use of professional designations is prohibited.We have broadened the scope of our inquiry into possible rule-making concerning professional designations as compared to the rule-making notice published in the Washington State Register in April, which pertained to the use of professional designations relating to senior citizens by broker-dealers, investment advisers, and their representatives.

Documents: 

Comments:
If you have any questions or comments, please contact Faith Anderson at (360) 725-7825 or by email.





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