Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 39 - SECURITIES › Subchapter 1 - GENERAL PROVISIONS › Section 16-39-104 - Forms

Current through June, 2024
(a) The following forms shall be used by
				persons submitting an initial or renewal application, or notice filing to the
				commissioner:
Form ADV: shall be used by an investment adviser to request
				  registration or to renew a registration, and by a federal covered investment
				  adviser to submit a required notice filing;
Form ADV-H: shall be used by an investment adviser to request
				  a temporary or continuing hardship exemption;
Form ADV-W: shall be used by an investment adviser to
				  terminate a registration, or by a federal covered investment adviser to
				  terminate a notice filing;
Form BD: shall be used by a broker-dealer or issuer to
				  request registration;
Form BD-W: shall be used by a broker-dealer or issuer to
				  terminate a registration;
Form D: shall be used by issuers of securities to satisfy the
				  requirements of section
				  16-39-203 or section
				  485A-202(15)(D),
				  HRS;
Form NF: shall be used by an investment company to comply
				  with the notice filing requirements under section
				  16-39-221;
Form U-1: shall be filed by an issuer seeking registration of
				  its securities by qualification;
Form U-2: shall be used to satisfy any requirement under
				  chapter 485A, HRS,
				  that a consent to service of process be filed with the commissioner; provided
				  that in lieu of filing a Form U-2, the commissioner shall accept an originally
				  executed Form ADV, Form BD, or Form U-4 that has been filed with the
				  commissioner or with the CRD;
Form U-2A: shall be used by any person required under chapter
				  485A, HRS, to file a corporate
				  resolution with the department;
Form U-4: shall be used by an agent or investment adviser
				  representative to request registration or to request a transfer of registration
				  from one broker-dealer, issuer, investment adviser, or federal covered
				  investment adviser to another;
Form U-5: shall be used to terminate the registration of an
				  agent or investment adviser representative;
Form U-7: shall be used by issuers seeking registration of a
				  SCOR offering.
Model Accredited
Investor Form: shall be used by an issuer offering or selling
				  securities to accredited investors to submit a notice filing;
(b) Broker-dealers that are registered under
				the Securities Exchange Act may file Forms BD, BD-W, U-4, and U-5 with the
				commissioner through the CRD.
(c)
				Investment advisers and federal covered investment advisers may, to the extent
				permitted by the IARD, file Forms ADV, ADV-W, U-4, and U-5 with the
				commissioner through the CRD.
(d)
				Every applicant or registrant that has filed any of the forms listed in
				subsection (a) with the commissioner shall promptly file with the commissioner
				any and all amendments necessary to keep the information previously reported on
				the forms current and accurate. If the form being amended was filed with the
				commissioner through the CRD, any amendment to the form may also be filed
				through the CRD.