There is a newer version of the Hawaii Revised Statutes
2014 Hawaii Revised Statutes
TITLE 26. TRADE REGULATION AND PRACTICE
485A. Uniform Securities Act
PART I. GENERAL PROVISIONS- 485A-101 Short title.
- 485A-102 Definitions.
- 485A-103 References to federal statutes.
- 485A-104 References to federal agencies.
- 485A-105 Electronic records and signatures.
- 485A-201 Exempt securities.
- 485A-202 Exempt transactions.
- 485A-203 Additional exemptions and waivers.
- 485A-204 Denial, suspension, revocation, condition, or limitation of exemptions.
FILING OF FEDERAL COVERED SECURITIES
- 485A-301 Securities registration requirement.
- 485A-302 Notice filing.
- 485A-303 Securities registration by qualification.
- 485A-304 Securities registration filings.
- 485A-305 Denial, suspension, and revocation of securities registration.
- 485A-306 Waiver and modification.
INVESTMENT ADVISER REPRESENTATIVES, AND
FEDERAL COVERED INVESTMENT ADVISERS
- 485A-401 Broker-dealer registration requirement and exemptions.
- 485A-402 Agent registration requirement and exemptions.
- 485A-403 Investment adviser registration requirement and exemptions.
- 485A-404 Investment adviser representative registration requirement and exemptions.
- 485A-405 Federal covered investment adviser notice filing requirement.
- 485A-406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- 485A-407 Succession and change in registration of broker-dealer or investment adviser.
- 485A-408 Termination of employment or association of agent and investment adviser representative; transfer of employment or association. ; ;
- 485A-409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- 485A-410 Filing fees.
- 485A-411 Postregistration requirements.
- 485A-412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- 485A-501 General fraud.
- 485A-502 Prohibited conduct in providing investment advice.
- 485A-503 Evidentiary burden.
- 485A-504 Filing of sales and advertising literature.
- 485A-505 Misleading filings.
- 485A-506 Misrepresentations concerning registration or exemption.
- 485A-507 Qualified immunity.
- 485A-508 Criminal penalties.
- 485A-509 Civil liability.
- 485A-510 Rescission offers.
- 485A-601 Commissioner of securities.
- 485A-602 Investigations and subpoenas.
- 485A-603 Civil enforcement.
- 485A-603.5 Additional civil penalties for securities violations committed against elders.
- 485A-604 Administrative enforcement.
- 485A-604.5 Additional administrative penalties for securities violations committed against elders
- 485A-605 Venue.
- 485A-606 Rules, forms, orders, [interpretative] opinions, and hearings.
- 485A-607 Administrative files and opinions.
- 485A-608 Public records; confidentiality.
- 485A-609 Appeals to court, first circuit; time; bonds; costs; decree; further appeal.
- 485A-610 Service of process.
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