General Info

The Division of Securities is a part of the Washington State Department of Financial Institutions, which regulates financial service providers throughout Washington. The division regulates securities investments, franchises and business opportunity offerings. It licenses and examines brokers, dealers and investment advisers. The Division of Securities handles complaints, conducts investigations and protects investors against fraud. The division reviews a variety of applications for registration and exemption notice filings by local, national and international companies. It analyzes prospectuses, financial statements and contracts to determine compliance with applicable requirements. The division also conducts on-site inspections of debenture and escrow companies. The Division of Securities additionally promotes small business capital formation by selling stocks and securities.