Skip to Content Skip to Navigation Skip to Footer
x
Hawaii.gov
Text size:
  • Smaller | Reset | Larger
Stay Connected
Business Registration Division – Securities logo
Department of Commerce and Consumer Affairs

Business Registration Division – Securities

Twitter iconFacebook iconInstagram icon
  • Home
  • About
  • News Releases
  • Calendar
  • HRS
  • HAR
  • Contact
  • DCCA Home
Home » Securities Filing Fees » Broker-Dealers

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

Acting Commissioner

Photo of Commissioner Ty Nohara

Ty Nohara

Read Message

Securities Spotlight

  • Commissioner’s Corner
  • Securities Online Portal
  • Proposed Adoption of Continuing Education Requirements for Investment Adviser Representatives

Securities Compliance

  • Securities Online Portal
  • Franchise Filings
  • Broker-Dealers
  • Investment Advisers
  • Registration of Securities by Qualification
  • Securities Filing Fees

Securities Enforcement

  • Complaint Form and Instructions
  • Enforcement Actions and Orders

Investor Education Program

  • Program Information
  • Resources and Materials
  • Hawaii LifeSmarts Program
  • IEP Multi-Media Library
Tweets by HISecurities

About Us

  • Contact Us
  • Site Map

Policies

  • Terms of Use
  • Accessibility
  • Privacy Policy

Contact

  • 808-586-2744
  • contact email
Powered by eHawaii.gov
Copyright © 2023, State of Hawaii. All rights reserved.