BD- Washington Broker-Dealer Industry Best Practices

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The WA Broker-Dealer Practices highlight the minimum net capital, books and records, supervision requirements and unethical business practices for broker-dealers pursuant to Washington Administrative Code Title 460, Chapter 21B Members also downloaded Washington Broker-Dealer Registration Requirements or Washington Broker-Dealer Salesperson Registration Requirements.

Version/Update: V.U/04/2014

Total Page Count/Format: 7/.pdf

Source/Author(s): WA Dept. of Financial Institutions Securities Division