Chapter 39 - SECURITIES

  1. Subchapter 1 - GENERAL PROVISIONS (§ 16-39-101 to 16-39-106)
  2. Subchapter 2 - EXEMPT TRANSACTIONS AND NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED SECURITIES (A to B)
  3. Subchapter 3 - REGISTRATION OF SECURITIES (A to E)
  4. Subchapter 4 - REGISTRATION OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES (A to E)
  5. Subchapter 5 - FRAUDULENT PRACTICES OF BROKER-DEALERS, BROKER-DEALER AGENTS, AND AGENTS OF AN ISSUER (§ 16-39-501)

Current through October, 2021

Notes

These new rules implement the new securities laws that become effective on July 1, 2008. In 2006, the Legislature passed Act 229, which established the new Hawaii Uniform Securities Act in HRS chapter 485A. Act 229 also repealed the old securities laws in HRS chapter 485 on June 30, 2008. Because these old securities laws are being repealed, their corresponding administrative rules in HAR chapter 16-38 are also repealed. However, this chapter is based substantially upon chapter 16-38. [Eff 6/4/70; am 1/1/71; 7/30/81; am 11/5/81; am and comp 10/12/85; am 4/4/87; am and com 4/14/03; R 6/30/08]

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