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2020 Hawaii Revised Statutes
Title 26. Trade Regulation and Practice
485A. Uniform Securities Act
PART I. GENERAL PROVISIONS
FILING OF FEDERAL COVERED SECURITIES
INVESTMENT ADVISER REPRESENTATIVES, AND
FEDERAL COVERED INVESTMENT ADVISERS
- 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.
Cross References
Investment securities, Uniform Commercial Code, see chapter 490, article 8.
Uniform transfer-on-death (TOD) security registration act, see chapter 539.
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