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General Requirements

Required books and records (HAR §16-39-442)
Financial Requirements (HAR §16-39-433)
Annual Financial Reporting Requirement (HAR §16-39-437)
Surety Bond Requirements (HAR §16-39-434)
Disclosure statements (HAR §16-39-439)
Privacy Policy
Other post-effective requirements (HAR §16-39-440)
Prohibited practices/acts of unworthiness (HAR §16-39-470)
Expiration, renewal & termination of registration (HAR §16-39-441)
Field examinations
Notice New Form ADV Part 2

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Director »

Tung Chan

Commissioner

Tung Chan

Securities Spotlight: Administrative Orders; Forms for Registration; File a Complaint; Enforcement Actions; Investor Education Program; Investor Education Handouts; Want to learn more? Here are some national websites...; Investment Adviser Guide; Investment Adviser Alert (Changes under Dodd-Frank)

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