Uniform Securities Act
Hawaii · Uniform Securities Act · §§ 485A-101 to 485A-809 · 59 sections
Overview
This act governs the offer and sale of securities within a state, establishing a regulatory framework administered by a state securities authority. It defines the securities, transactions, and market participants subject to regulation, and requires broker-dealers, sales representatives, transfer agents, investment advisers, and their representatives to be licensed, with examination requirements, application and fee procedures, and exemptions for certain categories of firms and individuals. It also addresses fraud and deceit in connection with securities transactions, and extends coverage to specialized investment products such as viatical settlements.
Editorial summary generated from the text of this act. It is not part of the statute — read the sections below for the operative language.
In the courts
Sections of this act have been cited in 4 court decisions.
Most-cited authority: 901 F.3d 1081 - Sun v. Advanced China Healthcare, Inc.
Sections covered
- Haw. Rev. Stat. § 485A-101Short title
- Haw. Rev. Stat. § 485A-102Definitions
- Haw. Rev. Stat. § 485A-103References to federal statutes
- Haw. Rev. Stat. § 485A-104References to federal agencies
- Haw. Rev. Stat. § 485A-105Electronic records and signatures
- Haw. Rev. Stat. § 485A-201Exempt securities
- Haw. Rev. Stat. § 485A-202Exempt transactions
- Haw. Rev. Stat. § 485A-203Additional exemptions and waivers
- Haw. Rev. Stat. § 485A-204Denial, suspension, revocation, condition, or limitation of exemptions
- Haw. Rev. Stat. § 485A-301Securities registration requirement
- Haw. Rev. Stat. § 485A-302Notice filing
- Haw. Rev. Stat. § 485A-303Securities registration by qualification
- Haw. Rev. Stat. § 485A-304Securities registration filings
- Haw. Rev. Stat. § 485A-305Denial, suspension, and revocation of securities registration
- Haw. Rev. Stat. § 485A-306Waiver and modification
- Haw. Rev. Stat. § 485A-401Broker-dealer registration requirement and exemptions
- Haw. Rev. Stat. § 485A-402Agent registration requirement and exemptions
- Haw. Rev. Stat. § 485A-403Investment adviser registration requirement and exemptions
- Haw. Rev. Stat. § 485A-404Investment adviser representative registration requirement and exemptions
- Haw. Rev. Stat. § 485A-405Federal covered investment adviser notice filing requirement
- Haw. Rev. Stat. § 485A-406Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Haw. Rev. Stat. § 485A-407Succession and change in registration of broker-dealer or investment adviser
- Haw. Rev. Stat. § 485A-408Termination of employment or association of agent and investment adviser representative; transfer of employment or association
- Haw. Rev. Stat. § 485A-409Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- Haw. Rev. Stat. § 485A-410Filing fees
- Haw. Rev. Stat. § 485A-411Postregistration requirements
- Haw. Rev. Stat. § 485A-412Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
- Haw. Rev. Stat. § 485A-501General fraud1 cite
- Haw. Rev. Stat. § 485A-502Prohibited conduct in providing investment advice
- Haw. Rev. Stat. § 485A-503Evidentiary burden
- Haw. Rev. Stat. § 485A-504Filing of sales and advertising literature
- Haw. Rev. Stat. § 485A-505Misleading filings
- Haw. Rev. Stat. § 485A-506Misrepresentations concerning registration or exemption
- Haw. Rev. Stat. § 485A-507Qualified immunity
- Haw. Rev. Stat. § 485A-508Criminal penalties
- Haw. Rev. Stat. § 485A-509Civil liability3 cites
- Haw. Rev. Stat. § 485A-510Rescission offers
- Haw. Rev. Stat. § 485A-601Commissioner of securities
- Haw. Rev. Stat. § 485A-602Investigations and subpoenas
- Haw. Rev. Stat. § 485A-603Civil enforcement
- Haw. Rev. Stat. § 485A-603.5Additional civil penalties for securities violations committed against elders
- Haw. Rev. Stat. § 485A-604Administrative enforcement
- Haw. Rev. Stat. § 485A-604.5Additional administrative penalties for securities violations committed against elders
- Haw. Rev. Stat. § 485A-605Venue
- Haw. Rev. Stat. § 485A-606Rules, forms, orders, [interpretative] opinions, and hearings
- Haw. Rev. Stat. § 485A-607Administrative files and opinions
- Haw. Rev. Stat. § 485A-608Public records; confidentiality
- Haw. Rev. Stat. § 485A-609Appeals to court, first circuit; time; bonds; costs; decree; further appeal
- Haw. Rev. Stat. § 485A-610Service of process
- Haw. Rev. Stat. § 485A-701Application of act to existing proceeding and existing rights and duties
- Haw. Rev. Stat. § 485A-801Definitions
- Haw. Rev. Stat. § 485A-802Governmental disclosures
- Haw. Rev. Stat. § 485A-803Immunity for governmental disclosures
- Haw. Rev. Stat. § 485A-804Third-party disclosures
- Haw. Rev. Stat. § 485A-805Immunity for third-party disclosures
- Haw. Rev. Stat. § 485A-806Delaying disbursements or transactions
- Haw. Rev. Stat. § 485A-807Immunity for delaying disbursements or transactions
- Haw. Rev. Stat. § 485A-808Records
- Haw. Rev. Stat. § 485A-809Multiple duties to report
Enacted in other states
Connecticut, Iowa, Idaho, Indiana, Massachusetts, New Hampshire, New Mexico, Nevada, South Carolina, South Dakota, Utah, Vermont, West Virginia, Wyoming
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