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Securities Enforcement Branch (SEC)

Protecting Hawaii’s financial landscape through rigorous securities enforcement, industry compliance oversight, and proactive investor education programs to ensure a fair and transparent marketplace

Quick Access

Essential Resources and Tools

Access professional tools for securities compliance, enforcement actions, and investor education to ensure your firm meets all state regulatory requirements

Securities Online Portal

Broker-Dealers

Complaint Form and Instructions

Enforcement Actions and Orders

Overview

About the Securities Branches

The Securities Branches provide regulatory oversight over the securities industry and franchises in the State and are organized as follows:

  • The Securities Compliance Branch is responsible for the registration of securities broker-dealers, securities agents, investment advisers, investment adviser representatives, investment companies, securities offerings, and the filing of franchise offering circulars in the State.  The branch also conducts field examinations of broker-dealers and investment advisers in Hawaii.
  • The Investor Education Program (IEP), which falls under the Securities Compliance Branch, provides investor education and financial literacy outreach statewide.  The IEP maintains outreach programs for kupuna (seniors) and caregivers, working families and union members, keiki (youths), industry professionals, military, and Hawaiian and other ethnic communities.  The IEP is also the state coordinator of LifeSmarts, a national consumer education program for youth.
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Latest Updates

News Releases

Read the latest press releases regarding utility rate filings, consumer advisories, and significant department initiatives

RELEASE: DON’T LET SCAMMERS STEAL..

December 18, 2025

RELEASE: COMMISSIONER OF SECURITIES ORDERS..

October 17, 2025

RELEASE: REGISTRATION OPENS FOR 2025-2026..

September 15, 2025
View All News

Reach Out

Contact Securities Branch

Securities staff remain available during normal business hours (7:45 a.m. – 4:30 p.m., Monday – Friday, except state holidays) to meet the needs of the public over the phone, online, and in-person. For in-person services, indoor mask wearing is encouraged throughout DCCA’s offices.

Securities Enforcement: To file a complaint, please go to https://hi-dcca.my.site.com/securities/s/ and submit the Securities Enforcement Branch Complaint Form through our online portal. If you have any questions or need assistance, please email seb@dcca.hawaii.gov or call 1-844-808-DCCA (3222), option 2, then option 3.

Connect with us on Linktree at https://linktr.ee/HISecurities for links to all of our social media accounts.

The DCCA will be open 7:45 AM – 4:30 PM (Hawaii Standard Time), Monday to Friday, except state holidays.

Mailing Address

  • Department of Commerce and Consumer Affairs
Business Registration Division
Commissioner of Securities
P. O. Box 40
Honolulu, Hawaii 96810

Office Location

  • Department of Commerce and Consumer Affairs
Business Registration Division
Commissioner of Securities
King Kalakaua Building
335 Merchant Street, Rm. 205
Honolulu, Hawaii 96813

Email Address

Securities Enforcement Branch

Securities Compliance Branch
Theresa Anne K. Kong Kee
Investor Education Specialist