Securities

The Securities Online Portal will be unavailable on Saturday, September 25, 2021 from 9:00 a.m. to 12 noon (HST) due to maintenance. We apologize for the inconvenience.

In accordance with Gov. Ige’s Executive Order, beginning Sept. 13, 2021, all visitors to the Department of Commerce and Consumer Affairs should be prepared to provide verification of being fully vaccinated or a negative COVID-19 test result in order to enter the state facility. The test sample cannot be taken more than 72 hours prior to time of entry and must be administered or observed by an authorized site or healthcare provider. All approved visitors are still required to wear masks, physically distance, and obey instructions as directed by staff while inside. People under the age of 12, who are not yet eligible for the vaccine, are exempt from the requirement.

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 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: 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) 586-2737 and leave a message. Someone will get back to you as soon as possible.

Access to the King Kalakaua Building 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.

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.

We thank you in advance for your cooperation and patience.

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)