Section 421-B:5-505 – Misleading Filings.
421-B:5-505 Misleading Filings. – It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or […]
Section 421-B:5-506 – Misrepresentations Concerning Registration or Exemption.
421-B:5-506 Misrepresentations Concerning Registration or Exemption. – The filing of an application for registration, a registration statement, a notice filing under this chapter, the registration of a person, the notice filing by a person, or the registration of a security under this chapter does not constitute a finding by the secretary of state that […]
Section 421-B:5-507 – Qualified Immunity.
421-B:5-507 Qualified Immunity. – A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating to a statement that is contained in a record required by the secretary of state, or designee […]
Section 421-B:5-507-A – Financial Exploitation of Vulnerable Adults.
421-B:5-507-A Financial Exploitation of Vulnerable Adults. – (1) For purposes of this section the following words shall have the following meanings unless the context clearly indicates otherwise: (A) " Eligible adult " means: (i) A person 65 years of age or older; or (ii) A person, 18 years of age or older, who is […]
Section 421-B:5-508 – Criminal Penalties.
421-B:5-508 Criminal Penalties. – (a) Any person who willfully violates any provisions of RSA 421-B:5-501(a) or RSA 421-B:5-502(a) or a cease and desist order or injunction issued pursuant to RSA 421-B:6-603 or RSA 421-B:6-604, or who violates RSA 421-B:5-505 knowing that the statement was false or misleading in any material respect, shall be guilty […]
Section 421-B:5-509 – Civil Liability.
421-B:5-509 Civil Liability. – (a) Securities Litigation Uniform Standards Act. Enforcement of civil liability under this section is subject to the Securities Litigation Uniform Standards Act of 1998. (b) Liability of seller to purchaser. A person is liable to the purchaser if the person sells a security in violation of RSA 421-B:3-301 or, by […]
Section 421-B:4-412 – Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration.
421-B:4-412 Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration. – (a) Disciplinary conditions, applicants. If the secretary of state finds that the order is in the public interest and subsection (d) authorizes the action, an order issued under this chapter may deny an application, or may condition or limit registration: (1) of […]
Section 421-B:5-501 – Fraud and Liabilities.
421-B:5-501 Fraud and Liabilities. – (a) General fraud. It is unlawful for a person, in connection with the offer, sale, or purchase of a security, directly or indirectly, to: (1) employ a device, scheme, or artifice to defraud; (2) make an untrue statement of a material fact or to omit to state a material […]
Section 421-B:4-404 – Investment Adviser Representative Registration Requirement and Exemptions.
421-B:4-404 Investment Adviser Representative Registration Requirement and Exemptions. – (a) Registration requirement. It is unlawful for an individual to transact business in this state as an investment adviser representative unless the individual is registered under this chapter as an investment adviser representative or is exempt from registration as an investment adviser under subsection (b). […]
Section 421-B:4-405 – Federal Covered Investment Adviser Notice Filing Requirement.
421-B:4-405 Federal Covered Investment Adviser Notice Filing Requirement. – (a) Notice filing requirement. Except with respect to a federal covered investment adviser described in subsection (b), it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies […]