(1) The director, by rule or otherwise,
may require the filing of any or all of the following documents
and the payment of the following fees with respect to a federal
covered security under section 18(b)(2) of the Securities Act of
1933:
(a) Prior to the initial offer of such a federal covered
security in this state, all documents that are part of the
current federal registration statement filed with the U.S.
securities and exchange commission under the Securities Act of
1933, together with a consent to service of process signed by the
issuer and the fee prescribed by RCW 21.20.340;
(b) After the initial offer of such a federal covered
security in this state, all documents that are part of an
amendment to a current federal registration statement filed with
the U.S. securities and exchange commission under the Securities
Act of 1933 and all fees prescribed by RCW 21.20.340; and
(c) An annual or periodic report of the value of such
federal covered securities offered in this state, together with
the fee prescribed by RCW 21.20.340.
(2) With respect to any security that is a federal covered
security under section 18(b)(4)(D) of the Securities Act of 1933,
the director, by rule or otherwise, may require the issuer to
file a notice on SEC Form D, together with a consent to service
of process signed by the issuer and the fee prescribed pursuant
to RCW 21.20.340, no later than fifteen days after the first sale
of such a federal covered security in this state.
(3) The director, by rule or otherwise, may require the
filing of any document filed with the U.S. securities and
exchange commission under the Securities Act of 1933, with
respect to a federal covered security under section 18(b)(3) or
(4) of the Securities Act of 1933 and/or the payment of the fee
prescribed pursuant to RCW 21.20.340.
(4) The director may issue a stop order suspending the offer
and sale of a federal covered security, except a federal covered
security under section 18(b)(1) of the Securities Act of 1933, if
the director finds that there is a failure to comply with any
requirement established under this section.
(5) The director, by rule or otherwise, may waive any or all
of the provisions of this section.
[1998 c 15 § 12.]