Business Registration Division

Securities

Securities staff remain available during normal business hours (7:45 a.m. – 4:30 p.m., Monday – Friday, except state holidays) to meet the needs of the public over the phone, online, and in-person. For in-person services, indoor mask wearing is encouraged throughout DCCA’s offices.

Securities Compliance: For franchise filings and securities registration filings, please go to https://dccabreg.force.com/securities/s/ and submit your application through our online portal. If you have any questions or need assistance, please email [email protected] or call (808) 586-2722.

Hawaii Adopts New Rule Requiring Continuing Education for Investment Adviser Representatives

We are going GREEN! Please use the Securities Online Portal to submit your required documents. It’s quick and easy!

Franchise Filers: Upload your franchise filing(s).

Broker-Dealers and Investment Advisers: Upload your required forms, documents, waiver and/or annual financials.

Securities Enforcement: To file a complaint, please go to https://dccabreg.force.com/securities/s/ and submit the Securities Enforcement Branch Complaint Form through our online portal. If you have any questions or need assistance, please email [email protected] or call (808) 586-2740.

Investor Education Program: Investor Education Program materials and information can be found online at https://cca.hawaii.gov/sec/iep/. For outreach presentations or requests for an exhibitor, please contact Brent Ramiscal at (808) 587-7400 or email [email protected].

Connect with us on Linktree at https://linktr.ee/HISecurities for links to all of our social media accounts.

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.