Hawaii Information for Applicants for Registration as Securities Dealers is a set of guidelines provided by the State of Hawaii for financial professionals who wish to become licensed securities dealers in the state. This information includes requirements for registration, including the submission of a FINRA Form BD (Uniform Application for Broker-Dealer Registration), which must be submitted through the CRD/IARD system. Additionally, applicants must demonstrate financial responsibility, provide information regarding their business operations, and submit fingerprints for a background check. Furthermore, applicants must complete a Hawaii Securities Dealer Registration and Exam Notification Form and pay any applicable fees. Types of Hawaii Information for Applicants for Registration as Securities Dealers include: • FINRA Form BD (Uniform Application for Broker-Dealer Registration) • Financial Responsibility Requirements • Business Operations Information • Fingerprinting/Background Check • Hawaii Securities Dealer Registration and Exam Notification Form Applicablees.es
Hawaii Information for Applicants for Registration as Securities Dealers
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FAQ
A dealer in the securities market is an individual or firm who stands ready and willing to buy a security for its own account (at its bid price) or sell from its own account (at its ask price). A dealer seeks to profit from the spread between the bid and ask prices, while also adding liquidity to the market.
(r) "FINRA member" means any broker or dealer admitted to membership in FINRA.
Those who wish to become registered must file Form BD (the Uniform Application for Broker-Dealer Registration) with the SEC, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions.
Tung Chan - Commissioner of Securities - State of Hawaii LinkedIn.
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.