Haw. Code R. § 16-39-315 - NASAA statements of policy for registration of securities

The disclosure-related provisions of certain guidelines or statements of policy adopted by NASAA may be used by the commissioner for purposes of reviewing the adequacy of the disclosures required under this chapter and chapter 485A, HRS. The following 'Statements of Policy and Guidelines" of NASAA are hereby adopted and incorporated by reference into this chapter:

(1) "Uniform Disclosure Guidelines for Cover Legends" adopted on October 2, 2004, as amended;

(2) "NASAA Guidelines Regarding Viatical Investments" adopted on October 1, 2002, as amended;

(3) "Statement of Policy Regarding Corporate Securities Definitions" adopted on September 28, 1999, as amended;

(4) "Statement of Policy Regarding the Impoundment of Proceeds" adopted on September 28, 1999, as amended;

(5) "Statement of Policy Regarding Options and Warrants" adopted on September 28, 1999, as amended;

(6) "Statement of Policy Regarding Promotional Securities" adopted on September 28, 1999, as amended;

(7) "Statement of Policy Regarding Specificity in Use of Proceeds" adopted on September 28, 1999, as amended;

(8) "Statement of Policy Regarding Underwriting Expenses, Underwriter's Warrants, Selling Expenses and Selling Securities Holders" adopted on September 28, 1999, as amended;

(9) "Statement of Policy Regarding Unsound Financial Condition" adopted on September 28, 1999, as amended;

(10) "Statement of Policy Regarding Promoters' Equity Investment" adopted on April 27, 1997, as amended; and

(11) "Statement of Policy Regarding Real Estate Investment Trusts" adopted on May 7, 2007, as amended.

Notes

Haw. Code R. § 16-39-315

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