(a) A person shall pay a fee of $200 when initially filing an application for registration as a broker-dealer and a fee of $200 when filing a renewal of registration as a broker-dealer.

Terms Used In Hawaii Revised Statutes 485A-410

  • Agent: means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer's securities. See Hawaii Revised Statutes 485A-102
  • Broker-dealer: means a person engaged in the business of effecting transactions in securities for the accounts of others or for the person's own account. See Hawaii Revised Statutes 485A-102
  • Commissioner: means the commissioner of securities of this State. See Hawaii Revised Statutes 485A-102
  • Federal covered investment adviser: means a person registered under the Investment Advisers Act of 1940. See Hawaii Revised Statutes 485A-102
  • Filing: means the receipt of a record required under this chapter by the commissioner or a designee of the commissioner. See Hawaii Revised Statutes 485A-102
  • Investment adviser: means a person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. See Hawaii Revised Statutes 485A-102
  • Investment adviser representative: means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds oneself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. See Hawaii Revised Statutes 485A-102
  • Person: means an individual; corporation; business trust; estate; trust; partnership; limited liability company; association; joint venture; government; governmental subdivision, agency, or instrumentality; public corporation; or any other legal or commercial entity. See Hawaii Revised Statutes 485A-102
(b) The fee for an individual is $50 when filing an application for registration as an agent, a fee of $50 when filing a renewal of registration as an agent, and a fee of $50 when filing for a transfer of registration as an agent.
(c) A person shall pay a fee of $100 when filing an application for registration as an investment adviser and a fee of $100 when filing a renewal of registration as an investment adviser.
(d) The fee for an individual is $50 when filing an application for registration as an investment adviser representative, a fee of $50 when filing a renewal of registration as an investment adviser representative, and a fee of $50 when filing for a transfer of registration as an investment adviser representative.
(e) A federal covered investment adviser required to file a notice under § 485A-405 shall pay an annual fee of $100.
(f) A person required to pay a fee under this section may transmit the fee through or to a designee of the commissioner as provided in a rule adopted or order issuedunder this chapter.
(g) The fee for copies of documents filed in the office of the commissioner shall be 25 cents per page.

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