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Uniform Securities Act
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Hawaii Revised Statutes
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Uniform Securities Act
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Section
485A-101
Short title.
Section
485A-102
Definitions.
Section
485A-103
References to federal statutes.
Section
485A-104
References to federal agencies.
Section
485A-105
Electronic records and signatures.
Section
485A-201
Exempt securities.
Section
485A-202
Exempt transactions.
Section
485A-203
Additional exemptions and waivers.
Section
485A-204
Denial, suspension, revocation, condition, or limitation of exemptions.
Section
485A-301
Securities registration requirement.
Section
485A-302
Notice filing.
Section
485A-303
Securities registration by qualification.
Section
485A-304
Securities registration filings.
Section
485A-305
Denial, suspension, and revocation of securities registration.
Section
485A-306
Waiver and modification.
Section
485A-401
Broker-dealer registration requirement and exemptions.
Section
485A-402
Agent registration requirement and exemptions.
Section
485A-403
Investment adviser registration requirement and exemptions.
Section
485A-404
Investment adviser representative registration requirement and exemptions.
Section
485A-405
Federal covered investment adviser notice filing requirement.
Section
485A-406
Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Section
485A-407
Succession and change in registration of broker-dealer or investment adviser.
Section
485A-408
Termination of employment or association of agent and investment adviser representative; transfer of employment or association. ; ;
Section
485A-409
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Section
485A-410
Filing fees.
Section
485A-411
Postregistration requirements.
Section
485A-412
Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
Section
485A-501
General fraud.
Section
485A-502
Prohibited conduct in providing investment advice.
Section
485A-503
Evidentiary burden.
Section
485A-504
Filing of sales and advertising literature.
Section
485A-505
Misleading filings.
Section
485A-506
Misrepresentations concerning registration or exemption.
Section
485A-507
Qualified immunity.
Section
485A-508
Criminal penalties.
Section
485A-509
Civil liability.
Section
485A-510
Rescission offers.
Section
485A-601
Commissioner of securities.
Section
485A-602
Investigations and subpoenas.
Section
485A-603
Civil enforcement.
Section
485A-603.5
Additional civil penalties for securities violations committed against elders.
Section
485A-604
Administrative enforcement.
Section
485A-604.5
Additional administrative penalties for securities violations committed against elders
Section
485A-605
Venue.
Section
485A-606
Rules, forms, orders, interpretative opinions, and hearings.
Section
485A-607
Administrative files and opinions.
Section
485A-608
Public records; confidentiality.
Section
485A-609
Appeals to court, first circuit; time; bonds; costs; decree; further appeal.
Section
485A-610
Service of process.
Section
485A-701
Application of act to existing proceeding and existing rights and duties.