21.30.270 – Multiple licenses, when permitted.
RCW 21.30.270 Multiple licenses, when permitted. No person may at any one time act as a commodity sales representative for more than one commodity broker-dealer or one issuer, except (1) where the commodity broker-dealers for whom the commodity sales representative will act are affiliated by direct or indirect common control, a commodity sales representative may […]
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 […]
21.30.350 – Denial, suspension, revocation, or limitation of license—Grounds.
RCW 21.30.350 Denial, suspension, revocation, or limitation of license—Grounds. (1) The administrator may, by order, deny, suspend, or revoke any license or an exemption granted under RCW 21.30.030(7), limit the activities which an applicant or licensed person may perform in this state, conserve any applicant or licensed person, or bar any applicant or licensed person […]
21.30.360 – Violations—Prosecuting attorney may bring criminal proceedings.
RCW 21.30.360 Violations—Prosecuting attorney may bring criminal proceedings. The director may refer such evidence as may be available concerning violations of this chapter or of any rule or order under this chapter to the proper prosecuting attorney, who may in his or her discretion, with or without such a reference, institute the appropriate criminal proceedings […]