Washington § 21.20.100 - Accounts, correspondence, memoranda, papers, books, and other records — Release of information — Correction of filed document — Examination.

Full text of Washington Revised Code of Washington § 21.20.100 — Accounts, correspondence, memoranda, papers, books, and other records — Release of information — Correction of filed document — Examination., with citation guidance and answers to common questions.

§ 21.20.100. Accounts, correspondence, memoranda, papers, books, and other records — Release of information — Correction of filed document — Examination.

(1) Every registered broker-dealer and investment adviser shall make and keep such accounts, correspondence, memoranda, papers, books, and other records, except with respect to securities exempt under RCW 21.20.310(1), which books and other records shall be prescribed by the director by rule or otherwise. The recordmaking and recordkeeping requirements prescribed for a broker-dealer shall not exceed the limitations provided in section 15 of the Securities Exchange Act of 1934. The recordmaking and recordkeeping requirements prescribed for a registered investment adviser shall not exceed the limitations provided in section 222 of the Investment Advisers Act of 1940. All records required to be made and kept by a registered investment adviser shall be preserved for such a period as the director prescribes by rule or otherwise.
(2) With respect to investment advisers, the director may require that certain information be furnished or disseminated as necessary or appropriate in the public interest or for the protection of investors and advisory clients.
(3) If the information contained in any document filed with the director is or becomes inaccurate or incomplete in any material respect, the registrant shall promptly file a correcting amendment unless notification of the correction has been given under RCW 21.20.090.
(4) All the records of a registered broker-dealer or investment adviser are subject at any time or from time to time to such reasonable periodic, special or other examinations by representatives of the director, within or without this state, as the director deems necessary or appropriate in the public interest or for the protection of investors.
[ 1998 c 15 s 9; 1959 c 282 s 10.]

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

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Frequently Asked Questions About Washington § 21.20.100

What does Revised Code of Washington § 21.20.100 cover?

Section 21.20.100 ("Accounts, correspondence, memoranda, papers, books, and other records — Release of information — Correction of filed document — Examination.") 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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A common citation format is "Revised Code of Washington § 21.20.100" (Washington). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.

Is this the official text of Washington law?

No. This page is for research and education and may not include the most recent amendments. For official current law, check the Washington official source linked on this page or consult a licensed Washington attorney.

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