Haw. Code R. § 16-38-6.1 - Registration; eligibility requirements; filing requirements
(a) An applicant, if a natural person, shall
have attained the age of eighteen years.
(b) A dealer or issuer may apply for the
registration of a salesperson by filing a complete Form U- 4 with the
commissioner together with the application fee set forth in section 16-38-3. If
the dealer is registered through the CRD, the salesperson's Form U- 4 and fees
shall be submitted to the commissioner through the CRD. If the dealer is not
registered through the CRD, an originally executed Form U- 4 and fees shall be
filed with the commissioner directly. If requested by the commissioner, the
applicant shall provide the commissioner copies of documents relating to the
applicant's disciplinary history as disclosed on Form U-4. Any request by the
commissioner for such disciplinary documents shall be provided in writing to
the applicant or the dealer or issuer filing the application within sixty days
of the application being received by the commissioner.
Notes
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