Haw. Code R. § 16-39-301 - Registration of securities

(a) In addition to the requirements of section 485A-303, HRS, a registration statement to register securities by qualification shall contain the following:

(1) A Form U-1 and accompanying documents (including subscription agreement);

(2) Two copies of the prospectus, including financial statements;

(3) All exhibits filed with the SEC in connection with the registration statements;

(4) The filing fee set forth in section 16-39103; and

(5) Any additional information or documents requested by the commissioner.

(b) An application filed with the SEC under the Securities Act, Regulation A, 17 CFR sections 230.251 to 230.262, may be filed with the commissioner by qualification. Notwithstanding the requirements of the SEC, however, the prospectus or offering circular used in connection with an offering of securities under Regulation A of the SEC shall contain the financial statements prescribed by section 485A-303(b), HRS.

Notes

Haw. Code R. § 16-39-301

[Eff 6/30/08] (Auth: HRS § 485A-606) (Imp: HRS §§ 485A-301, 485A-303, 485A-304) Comp 11/18/2023