Washington Administrative Code
Title 460 - Financial Institutions, Department of (Securities Division)
Chapter 460-22B - Salespersons of broker-dealers
Section 460-22B-040 - Salesperson registration and examination
Universal Citation: WA Admin Code 460-22B-040
Current through Register Vol. 24-06, March 15, 2024
(1) Every applicant for registration as a securities salesperson of a broker-dealer shall pass the examinations specified below.
(a) For applicants seeking registration
as salespersons of broker-dealers that are members of a national securities
association or national securities exchange:
(i) The uniform securities agent state law
examination (series 63); or the uniform combined state law examination (series
66); and
(ii) The appropriate
qualifying examination administered by such national securities
association.
(b) For all
other applicants seeking registration as salespersons of broker-dealers:
(i) The uniform securities agent state law
examination (series 63); or the uniform combined state law examination (series
66); and
(ii) The appropriate
qualifying examination administered by the Financial Industry Regulatory
Authority for the activities in which the salesperson is to engage.
(2) Any individual out of the business of effecting transactions in securities for less than two years and who has previously passed the required examinations in subsection (1)(a) or (b) of this section or the Washington state securities examination shall not be required to retake the examination(s) to be eligible to be relicensed upon application.
Statutory Authority: RCW 21.20.070 and 21.20.450. 95-16-026, § 460-22B-040, filed 7/21/95, effective 8/21/95.
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