Hawaii Administrative Rules
Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS
Chapter 38 - SECURITIES - REPEALED
Subchapter 3 - SALESPERSONS
Section 16-38-6.1 - Registration; eligibility requirements; filing requirements

Universal Citation: HI Admin Rules 16-38-6.1

Current through August, 2024

(a) An applicant, if a natural person, shall have attained the age of eighteen years.

(b) A dealer or issuer may apply for the registration of a salesperson by filing a complete Form U- 4 with the commissioner together with the application fee set forth in section 16-38-3. If the dealer is registered through the CRD, the salesperson's Form U- 4 and fees shall be submitted to the commissioner through the CRD. If the dealer is not registered through the CRD, an originally executed Form U- 4 and fees shall be filed with the commissioner directly. If requested by the commissioner, the applicant shall provide the commissioner copies of documents relating to the applicant's disciplinary history as disclosed on Form U-4. Any request by the commissioner for such disciplinary documents shall be provided in writing to the applicant or the dealer or issuer filing the application within sixty days of the application being received by the commissioner.

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