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1. cca.hawaii.gov › secBusiness Registration Division – Securities - Hawaii.gov

   cca.hawaii.gov › sec

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   6 dni temu · Securities has 3 branches: Compliance; Enforcement; and Investor Education. Organizationally, these branches fall under the Business Registration Division, which is administered by the Securities Commissioner. REGULATE: Securities Compliance Branch

   • Overview/Services

     Licensing Section. The Hawaii Uniform Securities Act...

2. cca.hawaii.gov › sec › aboutSecurities | Securities Overview/Services - Hawaii.gov

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   Licensing Section. The Hawaii Uniform Securities Act requires that all persons who propose to act as a broker-dealer, broker-dealer agent (sales representative), investment adviser, investment adviser representative or associated person be registered in this state with the Commissioner of Securities prior to engaging in such activities, unless ...

3. files.hawaii.gov › dcca › secHawaii Administrative Rules Chapter 39 Securities

   files.hawaii.gov › dcca › sec

   Historical Note: These new rules implement the new securities laws that become effective on July 1, 2008. In 2006, the Legislature passed Act 229, which established the new Hawaii Uniform Securities Act in HRS chapter 485A. Act 229 also repealed the old securities laws in HRS chapter 485 on June 30, 2008. Because these old securities laws are

4. seclaw.com › state-securities-commissions-state-blue-sky-lawsGuide to State Securities Administrators - SECLaw

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   4 dni temu · A complete listing of the contact information for the State Securities Commissions, who regulate securities transactions , in addition to the rules and regulations of the Securities and Exchange Commission .

5. files.hawaii.gov › dcca › secHow Do I Check on My Securities Broker or Investment Adviser

   files.hawaii.gov › dcca › sec

   Contact the Hawaii DCCA Securities Compliance Branch. This office can help you verify the registration of your: Broker-dealer and their salespeople. Investment advisers and their representatives. Securities.

6. files.hawaii.gov › dcca › secInformation for Applicants for Registration as Securities Dealers

   files.hawaii.gov › dcca › sec

   INFORMATION FOR APPLICANTS FOR REGISTRATION AS SECURITIES DEALERS Rules to implement the Sale of Securities Act were amended on October 12, 1985, and the following new requirements are provided in the Rules: §16-38-5.2 (b) (Balance Sheet) An application for registration as a securities dealer must be submitted with a balance sheet as follows: A.

7. www.financialplannerworld.com › hawaii-advisorHow to Become a Financial Advisor in Hawaii – HI | Series 65 Exam...

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   Follow this step-by-step guide to learn how to become an IAR or register a new firm at the state level with the State of Hawaii Department of Commerce & Consumer Affairs, Securities Compliance Branch or at the federal level with the Securities and Exchange Commission (SEC).