Wash. Admin. Code § 460-21C-040 - Notification of termination

The broker-dealer must promptly notify the financial institution if any agent of the broker-dealer who is employed by the financial institution is terminated for cause by the broker-dealer.


Wash. Admin. Code § 460-21C-040

Statutory Authority: RCW 21.20.100, 21.20.450. 00-05-055, § 460-21C-040, filed 2/14/00, effective 3/16/00.

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