Hawaii Broker-Dealer Reporting Requirements are the regulations that must be followed by all securities firms doing business in the state of Hawaii. These requirements vary depending on the type of broker-dealer. For Broker-Dealers that are registered with the Securities and Exchange Commission (SEC), they must comply with the SEC's reporting requirements and the Hawaii Blue Sky laws, which set out the regulations for the sale of securities in the state of Hawaii. This includes filing the Form BD (Uniform Application for Broker-Dealer Registration) and producing audited financial statements. For Broker-Dealers that are approved by the State of Hawaii, but not registered with the SEC, they must submit Form BD (Uniform Application for Broker-Dealer Registration) as well as the appropriate state forms and documents. These documents include the Hawaii Securities Dealer Registration Form, Limited Dealer Registration Form, and Limited Dealer Addendum Form, as well as the required financial statements and reports. Finally, for Broker-Dealers that are licensed by the State of Hawaii, but not approved by the SEC, they must submit the "Special Limited Dealer Registration Form," as well as the required financial statements and reports. In all cases, Hawaii Broker-Dealer Reporting Requirements must be strictly followed in order to maintain a compliant and successful securities business.
Hawaii Broker-Dealer Reporting Requirements
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How to fill out Hawaii Broker-Dealer Reporting Requirements?
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