Learn More
Log In
Sign Up
Broker-dealers, Agents, Investment Advisers, | Midpage
Collections
Hawaii Revised Statutes
Division 2
Title 26
Chapter 485A
Part IV
Broker-dealers, Agents, Investment Advisers,
INVESTMENT ADVISER REPRESENTATIVES, AND
FEDERAL COVERED INVESTMENT ADVISERS
485A-401
Broker-dealer registration requirement and exemptions.
485A-402
Agent registration requirement and exemptions.
485A-403
Investment adviser registration requirement and exemptions.
485A-404
Investment adviser representative registration requirement and exemptions.
485A-405
Federal covered investment adviser notice filing requirement.
485A-406
Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
485A-407
Succession and change in registration of broker-dealer or investment adviser.
485A-408
Termination of employment or association of agent and investment adviser representative; transfer of employment or association.
485A-409
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
485A-410
Filing fees.
485A-411
Postregistration requirements.
485A-412
Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.