Washington § 21.20.090 - Renewal of registration — Financial reports — Application for a successor.

Full text of Washington Revised Code of Washington § 21.20.090 — Renewal of registration — Financial reports — Application for a successor., with citation guidance and answers to common questions.

§ 21.20.090. Renewal of registration — Financial reports — Application for a successor.

Registration of a broker-dealer, salesperson, investment adviser representative, or investment adviser may be renewed by filing with the director or his or her authorized agent prior to the expiration thereof an application containing such information as the director may require to indicate any material change in the information contained in the original application or any renewal application for registration as a broker-dealer, salesperson, investment adviser representative, or investment adviser filed with the director or his or her authorized agent by the applicant, payment of the prescribed fee, and, in the case of a broker-dealer or investment adviser such financial reports as the director may prescribe by rule or otherwise. The reporting requirements so prescribed for a broker-dealer may not exceed the limitations provided in section 15 of the Securities Exchange Act of 1934. A registered broker-dealer or investment adviser may file an application for registration of a successor, and the director may at his or her discretion grant or deny the application.
[ 1998 c 15 s 8; 1995 c 46 s 2; 1994 c 256 s 9; 1981 c 272 s 4; 1979 ex.s. c 68 s 6; 1975 1st ex.s. c 84 s 6; 1961 c 37 s 3; 1959 c 282 s 9.]

Notes

Findings—Construction—1994 c 256: See RCW 43.320.007.

Source: official Washington text · Last verified 2026-08-27

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What does Revised Code of Washington § 21.20.090 cover?

Section 21.20.090 ("Renewal of registration — Financial reports — Application for a successor.") is part of the Revised Code of Washington, the codified statutory law of Washington. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.

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