Washington Securities Quarterly Report Form is a document used by registered securities brokers, dealers, and investment advisers in the state of Washington to report their quarterly activities. This form is used to report their financial status, trading activity, and compliance with securities laws. This report is required to be filed with the Washington State Department of Financial Institutions, Division of Securities. The Washington Securities Quarterly Report Form consists of two parts: Part 1 and Part 2. Part 1 includes information about the organization’s financial status, including its assets, liabilities, income, and expenses. Part 2 includes information about the organization’s trading activity, including the number of trades executed, the number of customer complaints, and the number of examinations conducted. Additionally, Part 2 also includes information about the organization’s compliance with applicable securities laws. The Washington Securities Quarterly Report Form must be filed within 45 days of the end of each quarter. Failure to file this form may result in civil or criminal penalties.
Washington Securities Quarterly Report Form
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