BD- Hawaii Broker-Dealer and Broker-Dealer Agent Administrative Rules

The HI Broker-Dealer and Broker-Dealer Agent Administrative Rules highlight the eligibility, application, financial, books and records, examination, expiration, renewal and termination of registration requirements for broker-dealers and their agents pursuant to Hawaii Administrative Rules Title 16, Department of Commerce and Consumer Affairs Chapter 39.  Members also downloaded Hawaii Broker-Dealer Registration Requirements and Affidavit of No Sales Form or Hawaii Broker-Dealer Annual Report of Financial Condition and Waiver Requirements or Hawaii Broker-Dealer Registration Fee Schedule.

Version/Update: V.U/06/2008

Total Page Count/Format: 89/.pdf 

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