The Securities branches provide regulatory oversight over the securities industry and franchises in the state. There are 3 Securities branches: Compliance, Enforcement, and Investor Education. Organizationally, these branches fall under the Business Registration Division, which is administered by the Commissioner of Securities.
Quick Access
The Securities Compliance Branch is responsible for the registration of securities broker-dealers, securities agents, investment advisers, investment adviser representatives, investment companies, securities offerings, and the filing of franchise offering circulars in the State. The branch also conducts field examinations of broker-dealers and investment advisers in Hawaii.
The Securities Enforcement Branch receives and investigates complaints regarding potential violations of Hawaii securities laws and prosecutes securities fraud and other securities violations.
To file a complaint, please go to https://hi-dcca.my.site.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.
The Investor Education Program (IEP), which falls under the Securities Compliance Branch, provides investor education and financial literacy outreach statewide. The IEP maintains outreach programs for kupuna (seniors) and caregivers, working families and union members, keiki (youths), industry professionals, military, and Hawaiian and other ethnic communities. The IEP is also the state coordinator of LifeSmarts, a national consumer education program for youth.
Latest Updates
Read the latest press releases regarding utility rate filings, consumer advisories, and significant department initiatives
Reach Out
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.
Securities Enforcement: To file a complaint, please go to https://hi-dcca.my.site.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 1-844-808-DCCA (3222), option 2, then option 3.
Residents on the neighbor islands may call the following number 1-844-808-DCCA (3222), then option 2.
