Chapter 460-16A WAC
GENERAL RULES
Last Update: 2/6/08

WAC SECTIONS

460-16A-005 Application.
460-16A-010 Appearance and practice before the securities division.
460-16A-015 Electronic or telephonic submissions.
460-16A-020 Interpretive opinions and no-action letters.
460-16A-025 Applications and reports.
460-16A-030 Payment of fees and refunds.
460-16A-040 Voting rights of preferred stocks.
460-16A-045 Protective provisions for preferred shares.
460-16A-050 Opinion of counsel.
460-16A-055 Corporate resolution.
460-16A-065 Convertible senior securities.
460-16A-070 Assessments.
460-16A-080 Subscription agreement.
460-16A-115 Reimbursement of expenses incurred by promoters.
460-16A-120 Price variance.
460-16A-125 Prospectus or offering circular.
460-16A-126 Annual revision of offering circular.
460-16A-127 Offering registered with the Securities and Exchange Commission ("SEC").
460-16A-180 Technical reports.
460-16A-185 Technical reports prepared by state employee.
460-16A-200 Debt offering standards.
460-16A-205 Adoption of NASAA statements of policy.
460-16A-390 Notice of termination of offering -- Change of officers.
DISPOSITIONS OF SECTIONS FORMERLY CODIFIED IN THIS CHAPTER
460-16A-035 Voting rights of common stock. [Order 304, § 460-16A-035, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-075 Selling expenses. [Order 304, § 460-16A-075, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-085 Options to underwriters. [Statutory Authority: RCW 21.20.450. 80-04-037 (Order SDO-37-80), § 460-16A-085, filed 3/19/80; Order 304, § 460-16A-085, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 93-01-075, filed 12/14/92, effective 1/14/93.  Statutory Authority: RCW 21.20.450.
460-16A-090 Pro rata options to shareholders. [Order 304, § 460-16A-090, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-095 Options to purchasers of debt securities. [Order 304, § 460-16A-095, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-100 Number of outstanding options. [Order 304, § 460-16A-100, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-101 Application to promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-101, filed 1/11/88.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-102 Definitions applicable to promotional shares. [Statutory Authority: RCW 21.20.450. 91-04-008, § 460-16A-102, filed 1/25/91, effective 2/25/91. Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-102, filed 1/11/88.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-103 Amount of promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-103, filed 1/11/88.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-104 Escrow of promotional shares. [Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-104, filed 1/11/88.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-105 Release provisions. [Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-105, filed 1/11/88; Order 304, § 460-16A-105, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-106 Terms of escrow. [Statutory Authority: RCW 21.20.250 and 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-106, filed 1/11/88; Order 304, § 460-16A-106, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-107 Amount of cheap stock. [Order 304, § 460-16A-107, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-108 Inapplicability of restrictions on amounts of promotional shares. [Statutory Authority: RCW 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-108, filed 1/11/88; 82-20-067 (Order SDO-115-82), § 460-16A-108, filed 10/5/82.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-109 Hi-tech exemption from promotional shares rules. [Statutory Authority: RCW 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-109, filed 1/11/88. Statutory Authority: RCW 21.20.280(8) and 21.20.450. 84-07-043 (Order SDO-39-84), § 460-16A-109, filed 3/21/84.]  Repealed by 95-17-068, filed 8/16/95, effective 9/16/95.  Statutory Authority: RCW 21.20.450.
460-16A-110 Rights of promotional shares. [Statutory Authority: RCW 21.20.450. 88-03-015 (Order SDO-164A-87), § 460-16A-110, filed 1/11/88; Order 304, § 460-16A-110, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-111 Equity investment of promoters. [Statutory Authority: RCW 21.20.450. 96-11-020, § 460-16A-111, filed 5/6/96, effective 6/6/96; Order SD-131-77, § 460-16A-111, filed 11/23/77.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-130 Escrow. [Order 304, § 460-16A-130, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-135 Operation of escrow. [Order SD-131-77, § 460-16A-135, filed 11/23/77; Order 304, § 460-16A-135, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-140 Consent to transfer escrowed shares. [Order 304, § 460-16A-140, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-145 Restrictions on dividends/distribution for promotional shares. [Order 304, § 460-16A-145, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 88-03-015 (Order SDO-164A-87), filed 1/11/88.  Statutory Authority: RCW 21.20.450.
460-16A-150 Imposition of impound condition. [Statutory Authority: RCW 21.20.450. 96-11-024, § 460-16A-150, filed 5/6/96, effective 6/6/96; Order SD-131-77, § 460-16A-150, filed 11/23/77; Order 304, § 460-16A-150, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-155 Operation of impound condition. [Order 304, § 460-16A-155, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-156 Source of impound deposits. [Statutory Authority: RCW 21.20.250. 79-09-028 (Order SD-57-79), § 460-16A-156, filed 8/14/79.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-160 Subscription agreements and purchase receipts. [Order 304, § 460-16A-160, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-165 Depositary. [Order 304, § 460-16A-165, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-170 Release of impounds. [Statutory Authority: RCW 21.20.450. 79-09-028 (Order SD-57-79), § 460-16A-170, filed 8/14/79; Order 304, § 460-16A-170, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-175 Failure to comply with impound condition. [Order 304, § 460-16A-175, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-190 Petition for repeal or adoption of new rules. [Order 304, § 460-16A-190, filed 2/28/75, effective 4/1/75. Formerly chapter 460-16 WAC.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.  
460-16A-210 Prohibited practices with regard to preferred stock. [Statutory Authority: RCW 21.20.450. 93-01-074, § 460-16A-210, filed 12/14/92, effective 1/14/93.]  Repealed by 98-17-013, filed 8/10/98, effective 9/10/98. Statutory Authority: RCW 21.20.450.