FacultyFaculty/Author Profile
Faith L. Anderson

Faith L. Anderson

Washington Department of Financial Institutions, Securities Division
Chief of Registration & Regulatory Affairs
Tumwater, WA, USA


Faith Anderson is the Chief of Registration & Regulatory Affairs of the Securities Division of the Washington State Department of Financial Institutions.  She supervises legal staff responsible for reviewing applications for registration in small public offerings, non-traded REITs, business development companies, oil and gas programs, bank holding companies, in-state municipal bond offerings, church bond offerings, rescission offerings, business opportunity offerings, and franchise offerings.  She oversees the processing of exemption filings and has experience in the laws affecting investment advisers and pooled investment vehicles.  She is also responsible for reviewing requests for interpretive and no-action letters, promulgating policy and interpretive statements, amending the Division’s administrative rules, and reviewing and drafting legislation.

Ms. Anderson chairs the Small Business/Limited Offerings Project Group of the North American Securities Administrators Association, Inc. (NASAA).  She is also a member of NASAA’s Committees on Corporation Finance, Electronic Filing Depository, State Legislation, and Capital Formation.  She has served as primary drafter on several NASAA comment letters on SEC rule proposals, led NASAA’s project to create a coordinated multi-state review program for Reg. A offerings, and continues to provide input on the nationwide electronic filing system for state securities filings that was launched in 2014 for Rule 506 notice filings.  Ms. Anderson is a frequent speaker on topics including private offerings, small public offerings, and crowdfunding.

Ms. Anderson is a member of both the Securities Committee of the Business Law Section of the Washington State Bar Association and the American Bar Association’s State Regulation of Securities Committee.

While in law school, Ms. Anderson served as an editor on the Pacific Rim Law & Policy Journal and completed an externship with Justice Barbara A. Madsen of the Washington State Supreme Court.

Education

University of Washington, B.A. in Business Administration, Concentration in Finance, 1998

University of Washington, Certificate of International Studies in Business, 1998

University of Washington, Juris Doctor, 2005

Faith L. Anderson is associated with the following items:
Web Segment  Web Segment State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
CHB Chapters  CHB Chapters The Roles of States in Crowdfunding - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
MP3 Audio  MP3 Audio State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? , Friday, September 08, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? , Friday, September 08, 2017
On-Demand Web Programs  On-Demand Web Programs Marketplace Lending and Crowdfunding 2017, Thursday, September 14, 2017, New York, NY
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