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Securities Compliance Branch

The Securities Compliance Branch manages registrations for broker-dealers, investment advisers, and securities offerings, ensuring state-level industry transparency and regulatory compliance for Hawaii’s financial marketplace.

Securities Online Portal

This convenient digital gateway allows for the secure submission of regulatory filings, franchise documents, and annual financials.

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Franchise Filings

Attention Franchise Filers: We are going GREEN! Please use the Securities Online Portal to submit your required forms, documents and/or annual financials. It’s quick and easy!

Uniform Franchise Registration Application (PDF)

Consent to Service of Process (Franchise) (PDF)

INTERPRETIVE ORDER NO. 2023-1 (PDF)

Helpful Tips for Franchise Filing (PDF)

Securities Filing Fees

Investment Advisors

  • Registration of investment advisers in Hawaii is a two-step process. All applicants must file on the IARD system. Once a filing has been made via the IARD, notification will be made to the state. An examiner will be assigned to review the application. Additional documentation must be sent to the Securities Compliance Branch for review. Applicants will be notified in writing of any deficiencies in the application. When an application is approved the IARD status of the applicant will be updated.
  • Step 1 – File on the IARD System
    All investment advisers filing for registration in Hawaii, are required to use the Investment Adviser Registration Depository (IARD). IARD is an electronic filing system developed and operated by the Financial Industry Regulatory Authority (FINRA) for states and the Securities and Exchange Commission for registration purposes.
  • All investment advisers must pay the Hawaii filing fee and submit their ADV, Part 1 and ADV, Part 2 on the IARD.
  • More information can be found on the IARD website.
  • Step 2 – Submit completed documents to the Securities Compliance Branch
    The links below will provide information on the documentation that must be completed and sent to the Securities Compliance Branch for review.
  • Documents may be emailed to the examiner assigned to your application via our general email mailbox at sc@dcca.hawaii.gov.
  • Investment Advisers with its primary place of business in Hawaii
  • Investment Advisers with its primary place of business outside of Hawaii

Broker-Dealers

Attention Broker-Dealers: We are going GREEN! Please use the Securities Online Portal to submit your required forms, documents, waiver and/or annual financials. It’s quick and easy!

Hawaii Broker-Dealer Registration Memo (PDF)

Broker-Dealer Questionnaire and Affidavit: Prior Sales (PDF)

Information for Applicants for Registration as Securities Dealers (PDF)

Verification Form (PDF)

Broker-Dealer Annual Financial Reporting Requirements (PDF)

Interpretive Order and Waiver Eligibility Certification (PDF)

Securities Filing Fees

Sixth Fold: Registration of Securities by Qualification

Application for Registration of Securities by Qualification (PDF)

Attachment to Application for Registration of Securities by Qualification (PDF)

Certified Copy of Corporate Resolution (PDF)

Consent to Service of Process by Issuer of or Dealer in Securities (PDF)

Seventh Fold: Securities Filing Fees

Access comprehensive details regarding mandatory costs for initial registrations, renewals, and amendments for broker-dealers, agents, investment advisers, and franchise filings in Hawaii.

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