BD- Hawaii Waiver Eligibility Certification for Filing of Annual Report of Condition by Dealers


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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