{"id":"AGY-ST-INSURANCE-BANKING-069","kind":"context","level":"sector-regulator","jurisdiction":"Washington; Department of Financial Institutions, Securities Division (State securities regulator)","state":"WA","metro":"","industry":"","agency":"ST-INSURANCE-BANKING","eco":"","issuer":"Washington State Department of Financial Institutions, Securities Division","authority":"RCW 21.20.450","instrument":"Temporary No-Action Relief for Registrants Affected by the COVID-19 Outbreak (announcement of March 24, 2020)","title":"Temporary No-action Relief for Registrants Affected by the COVID-19 Outbreak","dateIssued":"2020-03-24","effective":"2020-03-24","end":"Temporary; until withdrawn","startDate":"2020-03-24","endDate":"2020-12-31","quarters":["2020Q2","2020Q3","2020Q4"],"types":["TELE","OTHER"],"addressees":["broker-dealers, state registered investment advisers, federal covered investment advisers and their registered agents or representatives"],"clause":"Given the disruptions caused by the COVID-19 outbreak and dislocations affecting broker-dealers, state registered investment advisers, federal covered investment advisers, and their registered agents or representatives (collectively, \u0027financial professionals\u0027), the Washington State Department of Financial Institutions, Securities Division (DFI) will take no action to enforce the registration and other provisions of the Securities Act as described in this announcement.","enforcement":"RCW 21.20.390 (enforcement) forborne by the no-action position","functions":["WM broker-dealers and advisers (displaced personnel; unregistered locations)","OP","HR"],"notes":"The exhibit is the DFI announcement page archived October 24, 2020, which links the full no-action document (securities-no-action-relief.pdf; not separately retrieved).","sourceUrl":"https://dfi.wa.gov/industrynews/temporary-no-action-relief-registrants-affected-covid-19-outbreak","snapshot":"http://web.archive.org/web/20201024072720/https://dfi.wa.gov/industrynews/temporary-no-action-relief-registrants-affected-covid-19-outbreak","fileExists":true,"fileBytes":54180,"grade":"primary","character":"context","description":"","collection":"AGY-ST-INSURANCE-BANKING","url":"/library/AGY-ST-INSURANCE-BANKING-069","exhibitUrl":"/exhibit/AGY-ST-INSURANCE-BANKING-069","citation":"Washington State Department of Financial Institutions, Securities Division, Temporary No-Action Relief for Registrants Affected by the COVID-19 Outbreak (announcement of March 24, 2020) (Mar. 24, 2020) (Ex. AGY-ST-INSURANCE-BANKING-069)","stateName":"Washington","related":[]}