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Division of Securities

The primary mission of the Division of Securities, which was established in the early 1930s, is to protect the investing public and promote confidence in the capital markets. More...

What's New

Wells Fargo Statement of Charges
On November 20, 2008, the Securities Division of the Department of Financial Institutions (DFI) after a lengthy investigation issued a Statement of Charges against Wells Fargo brokerages firms. Learn more.
DFI Cautions Investors: Make Sure Your Decisions Amid The Current Wall Street Crisis Are Informed And Researched
DFI’s Securities Division is urging Washington State investors to make informed decisions about their long-term financial holdings and to seek the advice of a trusted investment adviser or financial planner before making any sudden moves with their money, particularly during the ongoing market volatility and unprecedented turmoil on Wall Street. Learn more.
Notice Regarding Form D Notice Filing Requirements
This notice contains information regarding notice filing requirements applicable to the private and limited offering exemptions adopted under the Securities Act of Washington, chapter 21.20 RCW, that are designed to coordinate with federal Regulation D. Learn more.
Rules Amended Pertaining To Several Exemptions From Registration For Private and Limited Offerings
The Securities Division has filed a Rule-Making Order (Form CR-103) amending our rules pertaining to several exemptions from registration for private and limited offerings. The effective date of these amendments is September 15, 2008. Learn more.
Selecting Brokerage and Investment Advisory Services That Meet Your Needs
DFI has published an investor bulletin on how investors can improve their chances of selecting brokerage and investment advisory services that meet their needs. View bulletin (PDF)*.
Investment Scams Often Lurk Behind Ominous Economic Forecasts
The Washington State Department of Financial Institutions (DFI) Director Scott Jarvis joins the North American Securities Administrators Association (NASAA) in reminding investors not to allow recent negative economic news and stock market volatility to lead them into high-risk speculative investments. Learn more.
Forex: Risky Business?
Recently, there has been a rise in Forex transactions. Forex trading can involve a high degree of risk and may be more suitable for market professionals rather than the average retail investor. Learn more.
Federal Savings, LLC Update
The most recent information on Federal Savings, LLC. Learn more.
What You Should Know Before Investing in Mortgage Paper Securities
Answers to frequently asked questions about investing in mortgage paper securities. Learn more.
Small Business Offering Options Decision Tree
This interactive decision tree is intended to help you evaluate whether your business may raise money by selling securities in a strictly private offering and if so, explore some private offering exemptions that may apply, or if it will be necessary for your company to register the offering. Begin the interactive decision tree.

Note: If you have a popup blocker installed, you may need to turn it off to open the decision tree.
Tenancy In Common
Tenancy in Common (PDF) - Agents, broker-dealers, and others offering or selling tenancy in common interests are reminded to comply with the Securities Act of Washington.

Licensee Information

Securities Orders, Licensee Database, Filings

View Securities Orders by Year: Orders are listed by year with the most recent at the top.

Search Securities Orders: Use the DFI enforcement actions search engine to find a specific order.
Search the Licensee Database: Find information about filings made with the Division.
Search the National Association of Securities Dealers: Find information about your stockbroker (broker/dealer salesperson).
Search the SEC Database: Find information about your investment adviser firm.

Laws and Rules

Laws & Rules

Contact Us

Mailing Address:
Department of Financial Institutions
Securities Division
PO Box 9033
Olympia, WA 98507-9033

Phone Numbers:
Main Telephone Line: (360) 902-8760
Toll Free: (877) RING DFI (746-4334)
Fax: (360) 902-0524
TDD: (360) 664-8126

Please also see our staff directory.

* This document is a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.

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