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.
Proposed Adoption of Continuing Education Requirements 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 Gloryana Akapo at (808) 586-2737 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.
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.
PROTECT: Securities Enforcement Branch
This branch receives and investigates complaints regarding potential violations of Hawaii securities laws and prosecutes securities fraud and other securities violations.
EDUCATE: Investor Education Program
This branch provides free investor information & educational presentations and develops outreach projects for Hawaii’s people.
To report fraud call 58-SCAMS(587-2267)
or call toll-free 1-877-HI SCAMS (1-877-447-2267)
Read more entries from News Releases, Investor Education Program, Publications, Registration Forms.