Broker-Dealers

Attention Broker-Dealers: We are going GREEN!  Please use the Securities Online Portal to submit your required forms, documents, waiver and/or annual financials.  It’s quick and easy!

(PDF) Hawaii Broker-Dealer Registration Memo

(PDF) Broker-Dealer Questionnaire and Affidavit: Prior Sales

(PDF) Information for Applicants for Registration as Securities Dealers

(PDF) Verification Form

(PDF) Broker-Dealer Annual Financial Reporting Requirements

(PDF) Interpretive Order and Waiver Eligibility Certification

Securities Filing Fees