Washington Securities Litigation and Arbitration Lawyers

In the State of Washington, investors have rights and protections under numerous laws and regulations. These include:

The Securities Act of Washington (RCW 21.20) which is the state law that regulates securities in Washington.

The Securities Act of Washington requires that all securities offered for sale in Washington be registered with the WSD, unless the securities or transactions are exempt. The Securities Act of Washington applies to all securities broker-dealers, agents, and investment advisers who offer or sell securities.

Here are some of the key provisions of the Securities Act of Washington:

• Registration of securities: All securities offered for sale in Washington must be registered with the WSD, unless the securities or transactions are exempt.

• Registration of broker-dealers, agents, and investment advisers: All broker-dealers, agents, and investment advisers who offer or sell securities in Washington must be registered with the WSD.

• Anti-fraud provisions: The Securities Act of Washington prohibits fraud.

• Enforcement: The WSD is responsible for enforcing the Securities Act of Washington. The WSD can investigate alleged violations of the law and take enforcement actions, such as issuing cease-and-desist orders and imposing fines.

Washington investors are also protected by the following federal securities laws and regulations:

• Securities Act of Washington

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

To discuss your rights under Washington or federal securities law, schedule a consultation with our law firm.