Haw. Code R. § 16-39-406

Current through November, 2024

Section 16-39-406 - Books and records

Every brokerdealer registered or required to be registered under chapter 485A, HRS, and this chapter shall prepare and maintain the books and records as described in the Securities Exchange Act, 17 CFR sections 240.17a-3 and 240.17a-4.

Haw. Code R. § 16-39-406

[Eff 6/30/08] (Auth: HRS § 485A-606) (Imp: HRS § 485A-411)

Comp 11/18/2023