Washington Administrative Code
Title 460 - Financial Institutions, Department of (Securities Division)
Chapter 460-22B - Salespersons of broker-dealers
Section 460-22B-060 - Duty to update application

Universal Citation: WA Admin Code 460-22B-060

Current through Register Vol. 24-06, March 15, 2024

A salesperson who has been issued a license under this chapter has a duty to update his or her application. If an event occurs that causes a salesperson's application to be inaccurate, the salesperson shall amend his or her application within thirty days of the occurrence of the event. The amendment shall be made as follows:

(1) For a salesperson of a broker-dealer that is a member of a national securities association or national securities exchange, through the Central Registration Depository; or

(2) For a salesperson of a broker-dealer that is not a member of a national securities association or national securities exchange, by filing an amended Form U-4 with the securities division.

Statutory Authority: RCW 21.20.070 and 21.20.450. 95-16-026, § 460-22B-060, filed 7/21/95, effective 8/21/95.

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