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
