21.30.280 – Classification of licenses—Limitations and conditions of licenses.
RCW 21.30.280 Classification of licenses—Limitations and conditions of licenses. If the administrator determines, by rule, that one or more classifications of licenses as a commodity broker-dealer or commodity sales representative which are subject to limitations and conditions on the nature of the activities which may be conducted by those persons are consistent with the public […]
21.30.290 – Annual report and fee.
RCW 21.30.290 Annual report and fee. For so long as a commodity broker-dealer or commodity sales representative is licensed under this chapter, it shall file an annual report, together with the annual fee specified in RCW 21.30.240(2), with the administrator or the administrator’s designee at a time and including that information that the administrator determines, […]
21.30.300 – Minimum net capital and fidelity bond requirements.
RCW 21.30.300 Minimum net capital and fidelity bond requirements. (1)(a) The administrator may, by rule, require a licensed commodity broker-dealer to maintain: (i) Minimum net capital; and (ii) a prescribed ratio between net capital and aggregate indebtedness. The minimum net capital and net capital-to-aggregate indebtedness ratio may vary with type or class of commodity broker-dealer. […]
21.30.310 – Financial and other reports.
RCW 21.30.310 Financial and other reports. A licensed commodity broker-dealer shall file financial and other reports that the administrator determines, by rule, are necessary or appropriate. [ 1986 c 14 § 32.]
21.30.320 – Records.
RCW 21.30.320 Records. (1) A licensed commodity broker-dealer or commodity sales representative shall make and maintain records that the administrator determines, by rule, are necessary or appropriate. (2) Required records may be maintained in computer or microform format or any other form of data storage provided that the records are readily accessible to the administrator. […]
21.30.330 – Correcting amendments of information in application or financial and other reports—Exception.
RCW 21.30.330 Correcting amendments of information in application or financial and other reports—Exception. If the information contained in any document filed with the administrator or the administrator’s designee pursuant to RCW 21.30.230 or 21.30.310, except for those documents which the administrator, by rule or order, may exclude from this requirement, is or becomes inaccurate or […]
21.30.340 – Examination of records—Copies—Fees.
RCW 21.30.340 Examination of records—Copies—Fees. (1) The administrator, without prior notice, may examine the records and require copies of the records which a licensed commodity broker-dealer or commodity sales representative is required to make and maintain under RCW 21.30.320, within or without this state, in a manner reasonable under the circumstances. Commodity broker-dealers and commodity […]
21.30.190 – Consent for service of process—Service, how made.
RCW 21.30.190 Consent for service of process—Service, how made. (1) Every applicant for registration under this chapter or person filing a claim of exemption under RCW 21.30.030(7) shall file with the administrator in such form as the administrator by rule prescribes, an irrevocable consent appointing the administrator or successor in office to be his or […]
21.30.200 – Administrative proceedings—Summary order—Notice—Hearing—Final order.
RCW 21.30.200 Administrative proceedings—Summary order—Notice—Hearing—Final order. (1) The director shall commence an administrative proceeding under this chapter by entering either a statement of charges or a summary order. The statement of charges or summary order may be entered without notice, without opportunity for hearing, and need not be supported by findings of fact or conclusions […]
21.30.210 – Application of chapter 34.05 RCW, the administrative procedure act.
RCW 21.30.210 Application of chapter 34.05 RCW, the administrative procedure act. Chapter 34.05 RCW applies to an administrative proceeding carried out by the director under this chapter unless otherwise provided in this chapter. [ 1986 c 14 § 22.]