BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

The Hawaii Waiver Eligibility Certification for Filing of Annual Report of Condition by Dealers Registered in Hawaii is for broker-dealers that wish to receive a waiver from the requirements of submitting annual audited financial statements with the state of Hawaii.  In accordance with 16-39-404 of the Hawaii Administrative Rules (HAR) effective 06/30/08, registered broker-dealers are required to file annual audited financials within ninety (90) days following the end of the fiscal year unless the broker-dealer files a “Waiver Eligibility Certification for Filing of Annual Report of Condition by Dealers Registered in Hawaii.” Members also downloaded 2021 State Requirements for Broker-Dealer Annual Audited Financial Statements.

Version/Update: V.U/October 21, 2010

Total Page Count/Format: 3/.pdf

Source/Author(s): HI Dept. of Commerce & Consumer Affairs Business Registration Division Library