Developed in partnership with the WSBA Business Law Section
An annual update from the Washington State Securities Division on its enforcement actions, proposed and final rules, rule interpretations and registration process for companies, broker-dealers and investment advisers.
Developed in partnership with the WSBA Business Law Section
An annual update from the Washington State Securities Division on its enforcement actions, proposed and final rules, rule interpretations and registration process for companies, broker-dealers and investment advisers.
FACULTY
Faith Anderson - Washington State Department of Financial Institutions Securities Division, Olympia, WA
William (“Bill”) Beatty - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Brian Guerard - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Mark Kissler - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Holly Mack-Kretzler - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Drew McCollum - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Jill Vallely - Washington State Department of Financial Institutions Securities Division, Olympia, WA
Adam Yeaton - Washington State Department of Financial Institutions Securities Division, Olympia, WA
SCHEDULE
3:00 p.m. Registration Opens
3:30 p.m. Program Begins
5:30 p.m. Adjourn
6:30 p.m. Post Program Social with Free Appetizers and No-Host Bar
For accessibility or accommodation requests, or other questions, please email
cle@wsba.org or call 206-443-9722 (toll free: 800-945-9722).
Seminar Registration Transfers, Refunds and Cancellations: In most circumstances, if you cannot attend the live event, we can
transfer your registration to the on-demand product, once available (8-10 weeks from the program delivery date). Generally, for
webcast/webinar registrations, tuition fees may be refunded, less $25 for processing, for written cancellations postmarked, emailed, or faxed up
to the start of the event. For in-person registrations, tuition fees may be refunded, less $25 for processing, for written cancellations
postmarked, emailed, or faxed by 5 p.m. up to three business days before the event. No refunds will be provided after the dates specified. You
may also send a substitute in lieu of canceling.
When applicable, specific exceptions to these policies will be noted on individual event
registration pages. Please email
cle@wsba.org with any requests or questions.