Washington Administrative Code
Title 460 - Financial Institutions, Department of (Securities Division)
Chapter 460-23B - Salespersons for issuers
Section 460-23B-070 - Termination of salespersons for issuers
Universal Citation: WA Admin Code 460-23B-070
Current through Register Vol. 24-06, March 15, 2024
Pursuant to RCW 21.20.080, if a salesperson for an issuer terminates employment or association with an issuer, the issuer and the salesperson must notify the director of the termination by complying with the instructions to Form U5 and filing a paper copy of a completed Form U5 with the securities division within thirty days of termination.
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