The Washington Securities Division is considering possible amendments to the rules for broker-dealers and salespersons of broker-dealers currently contained in Chapters 460-20B WAC, 460-21B WAC, and 460-22B. We are conducting a survey of Washington registered broker-dealers to determine the economic impact of these possible amendments and request your assistance.
 
We have prepared a draft of possible rule amendments available at https://dfi.wa.gov/rulemaking/broker-dealer-rules-amendments. The draft combines the rules currently located in multiple chapters into a single chapter provisionally named Chapter 460-20C WAC. The draft rules have not yet been proposed in an official rulemaking filing. We may make changes to the draft rules based on feedback received from this survey.  
 
Please complete the following survey no later than January 31, 2024.

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* Name of Broker-Dealer:

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* Name of Person Completing Survey:

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* Title of Person Completing Survey:

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* Phone

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* Email

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* As reported on Form BD, your broker-dealer firm:

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* Is your broker-dealer firm a member of FINRA?

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* How many employees does your broker-dealer firm have?

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* What was the total revenue of your broker-dealer firm for the last fiscal year?

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* What was the total income of the broker-dealer for its last fiscal year?

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* What was the total payroll of the broker-dealer for its last fiscal year?

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