The Commissioner of Securities is considering the adoption of NASAA Model Rule Investment Adviser Representative Continuing Education (Model Rule 2002-411(h) or    1956-204(b)(6)-CE), which sets out continuing education requirements for investment adviser representatives registered in Hawaii. A copy of Hawaii’s proposed rule can be found here. Written comments and feedback are welcome, and should be ...
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February 2020

Posted on Feb 1, 2020 in Main

TIP: If someone is selling you securities or advising you on your investments, that person and company should be registered. To check registration, contact the Office of the Securities Commissioner at (808)586-2722. When you call please have the name of the firm and the individual’s first and last name and middle initial if available. Related ...
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January 2020

Posted on Jan 1, 2020 in Main

TIP: As an older investor, you are a top target for con artists. The Hawaii Securities Enforcement Branch is filled with examples of senior investors who have been cheated out of their life savings, retirement investments, and even the equity in their own homes. You can avoid becoming a victim by following these tips to ...
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Commissioner’s Corner

Posted on Jun 27, 2016 in Main