Haw. Code R. § 16-38-4

Current through November, 2024

Section 16-38-4 - Forms

(a) The following forms shall be used by persons submitting an application, notice filing, or renewal 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 adviser to submit a notice filing;

Form ADV-W: shall be used by an investment adviser to terminate a registration, or by a federal covered adviser to terminate a notice filing;

Form BD: shall be used by a dealer or issuer to request registration;

Form BD-W: shall be used by a dealer or issuer to terminate a registration;

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 485, HRS, that a consent to service of process be filed with the department. In lieu of filing a Form U-2, however, the department shall accept an originally executed Form ADV, Form BD, or Form U- 4 that has been filed with the department or with the CRD;

Form U-2A: shall be used by any person required under chapter 485, HRS, to file a corporate resolution with the department;

Form U-4: shall be used by a salesperson or investment adviser representative to request registration or to request a transfer of registration from one dealer, issuer, investment adviser, or federal covered investment adviser to another;

Form U-5: shall be used to terminate the registration of a salesperson or investment adviser representative;

Form NF: shall be used by an investment company to comply with the notice filing requirements under section 16-38-65;

S-5: bond for dealer, issuer, or investment adviser;

S-6: application for registration as a dealer in securities;

S-12: application for exemption from the registration requirement of chapter 485, HRS, in order to offer or sell securities of a residential cooperative corporation;

SCOR Form: shall be used by issuers seeking registration of a SCOR offering.

(b) Dealers that are registered under the Securities Exchange Act of 1934 may file Forms BD, BD-W, U-4, and U- 5 with the commissioner through the CRD.

(c) Investment advisers and federal covered 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 such forms current and accurate. If the form being amended was filed with the commissioner through the CRD, any amendment to such form may also be filed through the CRD.

Haw. Code R. § 16-38-4

[Eff 6/4/70; am and ren § 16-38-4, 7/30/81; am and comp 10/12/85; am and comp 4/14/03] (Auth: HRS §§ 91-2, 485-2) (Imp: HRS §§ 485-10, 485-14)