Section 421-B:5-510 – Rescission Offers.
421-B:5-510 Rescission Offers. – A purchaser or seller of a security, or a recipient of investment advice may not maintain an action under RSA 421-B:5-509 if: (1) The purchaser or seller of a security, or recipient of investment advice receives in a record, before the action is instituted: (A) an offer stating the respect […]
Section 421-B:6-601 – Administration of Chapter.
421-B:6-601 Administration of Chapter. – (a) Administration. The secretary of state shall administer this chapter. The secretary of state may appoint deputy secretaries of state or designees who shall serve as director and who may be classified or unclassified employees whose salary shall be that of or comparable to that of a deputy secretary […]
Section 421-B:6-602 – Investigations and Subpoenas.
421-B:6-602 Investigations and Subpoenas. – (a) Authority to investigate. The secretary of state may: (1) conduct public or private investigations within or outside of this state that the secretary of state considers necessary or appropriate to determine whether any person has violated, is violating, or is about to violate this chapter or an order […]
Section 421-B:6-603 – Civil Enforcement.
421-B:6-603 Civil Enforcement. – (a) Civil action instituted by attorney general or secretary of state. If it appears to the attorney general or secretary of state that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this chapter or an […]
Section 421-B:6-604 – Administrative Enforcement.
421-B:6-604 Administrative Enforcement. – (a) Issuance of an order or notice. If the secretary of state determines that a person has engaged, is engaging, or is about to engage, in an act, practice, or course of business constituting a violation of this chapter or an order issued under this chapter, or that a person […]
Section 421-B:6-605 – Orders, Interpretative Opinions, and Hearings.
421-B:6-605 Orders, Interpretative Opinions, and Hearings. – (a) Issuance and adoption of forms, orders, and rules. The secretary of state may by order, define terms, whether or not used in this chapter, when those definitions are not inconsistent with this chapter. (b) Findings and cooperation. All actions undertaken by the secretary of state pursuant […]
Section 421-B:5-502 – Prohibited Conduct in Providing Investment Advice.
421-B:5-502 Prohibited Conduct in Providing Investment Advice. – (a) Fraud in providing investment advice. It is unlawful for any person that advises others for compensation, either directly or indirectly 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 […]
Section 421-B:5-502-A – Custody of Client Funds or Securities by Investment Advisers.
421-B:5-502-A Custody of Client Funds or Securities by Investment Advisers. – (a) Safekeeping required. It is unlawful and deemed to be a fraudulent or deceitful act, practice, or course of business for an investment adviser, registered or required to be registered, to have custody of client funds or securities unless: (1) Notice to secretary […]
Section 421-B:5-503 – Evidentiary Burden.
421-B:5-503 Evidentiary Burden. – (a) Civil. In a civil action or administrative proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim. (b) Criminal. In a criminal proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has […]
Section 421-B:5-504 – Filing of Sales and Advertising Literature.
421-B:5-504 Filing of Sales and Advertising Literature. – (a) Filing requirement. Except as otherwise provided in subsection (b), an order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution […]