Hawaii Revised Statutes
485A. Uniform Securities Act
485A-607 Administrative files and opinions.

§485A-607 Administrative files and opinions. (a) The commissioner shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this chapter or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this chapter or the predecessor act; and interpretative opinions or no action determinations issued under this chapter.
(b) The commissioner shall make all rules, forms, interpretative opinions, and orders available to the public in accordance with chapter 92F.
(c) The commissioner shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests in accordance with chapter 92F. A copy of the record certified or a certificate by the commissioner of a record's nonexistence is prima facie evidence of a record or its nonexistence. [L 2006, c 229, pt of §1]

Structure Hawaii Revised Statutes

Hawaii Revised Statutes

Title 26. Trade Regulation and Practice

485A. Uniform Securities Act

485A-101 Short title.

485A-102 Definitions.

485A-103 References to federal statutes.

485A-104 References to federal agencies.

485A-105 Electronic records and signatures.

485A-201 Exempt securities.

485A-202 Exempt transactions.

485A-203 Additional exemptions and waivers.

485A-204 Denial, suspension, revocation, condition, or limitation of exemptions.

485A-301 Securities registration requirement.

485A-302 Notice filing.

485A-303 Securities registration by qualification.

485A-304 Securities registration filings.

485A-305 Denial, suspension, and revocation of securities registration.

485A-306 Waiver and modification.

485A-401 Broker-dealer registration requirement and exemptions.

485A-402 Agent registration requirement and exemptions.

485A-403 Investment adviser registration requirement and exemptions.

485A-404 Investment adviser representative registration requirement and exemptions.

485A-405 Federal covered investment adviser notice filing requirement.

485A-406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

485A-407 Succession and change in registration of broker-dealer or investment adviser.

485A-408 Termination of employment or association of agent and investment adviser representative; transfer of employment or association.

485A-409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

485A-410 Filing fees.

485A-411 Postregistration requirements.

485A-412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

485A-501 General fraud.

485A-502 Prohibited conduct in providing investment advice.

485A-503 Evidentiary burden.

485A-504 Filing of sales and advertising literature.

485A-505 Misleading filings.

485A-506 Misrepresentations concerning registration or exemption.

485A-507 Qualified immunity.

485A-508 Criminal penalties.

485A-509 Civil liability.

485A-510 Rescission offers.

485A-601 Commissioner of securities.

485A-602 Investigations and subpoenas.

485A-603 Civil enforcement.

485A-603.5 Additional civil penalties for securities violations committed against elders.

485A-604 Administrative enforcement.

485A-604.5 Additional administrative penalties for securities violations committed against elders. If a person commits a violation under this chapter and the violation is directed toward, targets, or is committed against a person who at the time of t...

485A-605 Venue.

485A-606 Rules, forms, orders, interpretative opinions, and hearings.

485A-607 Administrative files and opinions.

485A-608 Public records; confidentiality.

485A-609 Appeals to court, first circuit; time; bonds; costs; decree; further appeal.

485A-610 Service of process.

485A-701 Application of act to existing proceeding and existing rights and duties.

485A-801 Definitions.

485A-802 Governmental disclosures.

485A-803 Immunity for governmental disclosures.

485A-804 Third-party disclosures.

485A-805 Immunity for third-party disclosures.

485A-806 Delaying disbursements or transactions.

485A-807 Immunity for delaying disbursements or transactions.

485A-808 Records.

485A-809 Multiple duties to report.