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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Administered by FINRA and known as the general securities representative license, the Series 7 license authorizes you to sell virtually any type of individual security, such as preferred stocks, options, bonds, and other individual fixed income investments?plus all forms of packaged products.
Series 7 License Cost The cost of the exam itself is $245. The sponsoring firm typically pays this even though the student themselves can also pay. However, this cost does not include study materials, which the candidate needs to purchase themselves.
A securities license allows you to market and sell investments. Depending on the license you obtain, you might have a job as a registered representative, stockbroker, or investment advisor.
Wages include: The amount each employee was paid for working, whether paid as a fixed salary, hourly pay or overtime. When paid, vacation or holidays, earnings are reportable. Tips reported by the employee. Bonuses or prizes. Non-cash payments, such as meals and lodging.
Washington employers are required by law (RCW 26.23. 040) to report all new employees within 20 days of hire. This also applies to employees who are rehired, if they haven't worked for the company in the past 60 days.
The Washington State Department of Financial Institutions Division of Securities initial filing fee of $40.
The Series 6 costs $40. Once you pass Series 6, you need to register your new license with FINRA. You must also participate in FINRA's continuing education requirements and be sponsored by a FINRA-registered company in order to maintain the Series 6 license.
Officers of for-profit corporations who provide services in Washington are automatically exempt from Unemployment Insurance, unless the employer specifically requests coverage.