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.

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)