Haw. Code R. § 16-39-104

Current through September, 2024

Section 16-39-104 - Forms

(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.

Haw. Code R. § 16-39-104

[Eff 6/30/08] (Auth: HRS § 485A-606) (Imp: HRS § 485A-606)

Comp 11/18/2023