Washington Administrative Code
Title 460 - Financial Institutions, Department of (Securities Division)
Chapter 460-99C - Crowdfunding
Section 460-99C-240 - Books and records-Inspection rights
Universal Citation: WA Admin Code 460-99C-240
Current through Register Vol. 24-06, March 15, 2024
(1) An issuer that has filed or is required to file under the crowdfunding exemption must keep and maintain written or electronic records relating to offers and sales of securities made in reliance on the crowdfunding exemption for at least six years following the termination of the offering. These records shall include:
(a) The issuer's Washington Crowdfunding Form
and all exhibits, together with all amendments thereto;
(b) Evidence of residency from each investor
in the offering, including written representation from each purchaser as to his
or her residence;
(c) A manually or
electronically signed copy of the Investor Certifications and Acknowledgements
Form for each investor in the offering;
(d) Final sales reports filed with the
director; and
(e) Annual reports
and all other communications with shareholders.
(2) The director may access, inspect, review, copy, and remove for inspection any records described in subsection (1) of this section.
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