Regulators Department Washington One Franklin Square DC

Regulators Department Washington at http://rdwashington.org

Anyone referring you to this “organisation” is a fraudster.
Any company endorsed by this organisation is a fraud
Any “deal” involved is a scam.

In the USA, regulation of the securities industry is an effort divided between federal, state, and self-regulatory agencies. Regulators Department Washington is responsible for enforcing regulation and protecting the investors of Washington, DC by maintaining the integrity of the securities market. We achieve our function through the regulation of registered dealers and investment advisers of Washington. We also advocate investor education in the prevention of fraud. Through investor education, citizens can avoid bogus securities scams and keep Washington’s capital markets viable.

At Regulators Department Washington we’ll make sure investment companies meet their compliance requirements whilst providing timely access to the information you need to make informed decisions. Our client focus means your interests are always taken care of.

We are the state government watchdog of the insurance and securities industries for the citizens of Washington. Regulators Department Washington protects Washington’s consumers by ensuring fairness, transparency and access for two of Washington’s largest industries — securities and insurance.

Regulators Department Washington regulates the securities industry in Washington. The Comission is committed to protect investors against securities fraud and provides aggressive enforcement actions against any firm or individual who has violated the Washington Securities Act or other state and federal statutes to the detriment of Washington investors.

The Washington Securities Act provides for the licensing and regulation of securities broker-dealers, agents, investment advisers and investment adviser representatives, and financial planners.

The Commission regulates the individual securities through registration. All of the above entities must be registered with the ASC to conduct business in Washington unless subject to a statutory exemption from registration.

The Commission promotes financial literacy to all citizens and students in Washington by providing presentations, free information and access to curricula for financial literacy education.

Please contact Regulators Department Washington to determine if the representative and firm with whom you wish to do business are properly registered in Washington. Our staff can also provide free information relating to the disciplinary history (crime, complaints, civil law suits, etc), educational background and work experience of a firm or representative.

What information Regulators Department Washington can/cannot provide to an overseas regulator

If you haven't found the information you need on our website or public registers you can make a probity request for confidential information. We release confidential information in accordance with our statutory obligations, which are outlined in Regulatory Guide 103.

One Franklin Square, 1301 K Street, Washington, D.C.
[email protected]

Created anonymously 22nd March 2017 for 1 year only