Small Business Economic Impact Survey: Broker-Dealer Rule Amendments |
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.