Hawaii Information for Applicants for Registration as Securities Dealers is a set of guidelines provided by the State of Hawaii for financial professionals who wish to become licensed securities dealers in the state. This information includes requirements for registration, including the submission of a FINRA Form BD (Uniform Application for Broker-Dealer Registration), which must be submitted through the CRD/IARD system. Additionally, applicants must demonstrate financial responsibility, provide information regarding their business operations, and submit fingerprints for a background check. Furthermore, applicants must complete a Hawaii Securities Dealer Registration and Exam Notification Form and pay any applicable fees. Types of Hawaii Information for Applicants for Registration as Securities Dealers include: • FINRA Form BD (Uniform Application for Broker-Dealer Registration) • Financial Responsibility Requirements • Business Operations Information • Fingerprinting/Background Check • Hawaii Securities Dealer Registration and Exam Notification Form Applicablees.es
Hawaii Information for Applicants for Registration as Securities Dealers
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