Securities

Due to COVID-19 and for the health and safety of consumers and staff, the Department of Commerce and Consumer Affairs (DCCA) offices will be providing modified hours of in-person services to the public. The King Kalakaua Building will be open to the public from 7:45 a.m. – 12 noon Monday – Friday, except state holidays.

Building access will only be allowed through the building’s front lobby via Merchant Street.  A face covering is required to enter, and while conducting business in the building. Safety protocols including social distancing measures will be implemented, so we ask that you please follow instructions and plan your time accordingly. We thank you in advance for your cooperation and patience.

Staff will remain available during normal business hours to meet the needs of the public over the phone and online. The public is strongly encouraged to continue calling in or utilizing DCCA’s online services. Contact information for each division is available at http://cca.hawaii.gov/contact/. For a full listing of online services go to http://cca.hawaii.gov/covid19.

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.

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: All outreach activities have been cancelled until further notice. Investor Education Program materials and information can be found online at https://cca.hawaii.gov/sec/iep/. For further assistance, please email [email protected] or call (808) 587-7400 and leave a message. Someone will get back to you as soon as possible.

BREG Securities staff will continue to work full-time to provide its services to the public through modified operations. We thank you for your understanding.

 

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)