Search Results
Your search found 1048 hits- RELEASE: DCCA DISCIPLINARY ACTIONS (Through October 2020) DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS OFFICE OF ADMINISTRATIVE HEARINGS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR FOR IMMEDIATE RELEASE November 27, 2020 DCCA DISCIPLINARY ACTIONS (Through October 2020) HONOLULU – The state Department of Commerce and Consumer Affairs (DCCA) and the state Boards and Commissions released a summary of disciplinary actions through […]
- NEWS RELEASE: DCCA Disciplinary Actions (Through March 2022)DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Office of Administrative Hearings DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR FOR IMMEDIATE RELEASE April 20, 2022 DCCA DISCIPLINARY ACTIONS (Through March 2022) HONOLULU – The state Department of Commerce and Consumer Affairs (DCCA) and the state Boards and Commissions released a summary of disciplinary actions through […]
- RELEASE: DCCA DISCIPLINARY ACTIONS (THROUGH NOVEMBER 2023)DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS KA ʻOIHANA PILI KĀLEPA Office of Administrative Hearings JOSH GREEN, M.D. GOVERNOR | KIAʻĀINA NADINE Y. ANDO DIRECTOR KA LUNA | HOʻOKELE FOR IMMEDIATE RELEASE January 3, 2024 DCCA DISCIPLINARY ACTIONS (Through November 2023) HONOLULU – The State Department of Commerce and Consumer Affairs (DCCA) and its respective […]
- Securities Overview/ServicesA description of Securities’s mission with links to key services Securities Compliance Branch (SEC) 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 […]
- “WAIPAHU 3” TEAM WINS 2022 HAWAII LIFESMARTS STATE COMPETITION DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE Feb. 14, 2022 “WAIPAHU 3” TEAM WINS 2022 HAWAII LIFESMARTS STATE COMPETITION HONOLULU – The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities Commissioner and Insurance Division announces […]
- Annual Financial Reporting Requirement (HAR §16-39-437)Every registered investment adviser must file an annual report of financial condition within ninety (90) calendar days following the end of the adviser’s fiscal year Advisers with custody or discretionary authority must submit audited financial statements Advisers who do not have custody or discretionary authority may submit financial statements that are verified by an officer […]
- RELEASE: State Hosts 13th Annual Financial Literacy Fair in Downtown HonoluluDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE April 1, 2019 State Hosts 13th Annual Financial Literacy Fair in Downtown Honolulu HONOLULU – The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities Commissioner will host the 13th […]
- Surety Bond Requirements (HAR §16-39-434)Advisers with custody or discretionary authority shall be bonded for $50,000 Advisers with custody or discretionary authority who do not meet the minimum financial requirements (HAR §16-39-433) shall be bonded in the amount of the net worth deficiency rounded up to the nearest $5,000 Advisers who maintain a principal place of business outside of Hawaii […]
- RELEASE: STATE HOSTS 12TH ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULUDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE April 2, 2018 State Hosts 12th Annual Financial Literacy Fair in Downtown Honolulu HONOLULU – The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities Commissioner will host the 12th Annual Financial […]
- WelcomeSEC Welcome Message 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 This branch is responsible for the registration of securities, broker-dealers and their sales agents, investment advisers and their representatives doing business in Hawaii. […]