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 […]
Section 421-B:4-406 – Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.
421-B:4-406 Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative. – (a) Application for initial registration. A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application on a form prescribed by the secretary of state and a consent to service of process complying with RSA […]
Section 421-B:4-407 – Succession and Change in Registration of Broker-Dealer or Investment Adviser.
421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser. – (a) Succession. A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of […]
Section 421-B:4-408 – Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association.
421-B:4-408 Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association. – (a) Notice of termination. If an agent registered under this chapter terminates employment by or association with a broker-dealer or issuer, or if an investment adviser representative registered under this chapter terminates employment by or […]
Section 421-B:4-409 – Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.
421-B:4-409 Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative. – (a) The secretary of state may determine by order the requirements and procedures for withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative. Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative […]
Section 421-B:3-301 – Securities Registration Requirement.
421-B:3-301 Securities Registration Requirement. – (a) It is unlawful for a person to offer or sell a security in this state unless: (1) the security is a federal covered security; (2) the security, transaction, or offer is exempted from registration under RSA 421-B:2-201 through RSA 421-B:2-203; or (3) the security is registered under this […]
Section 421-B:3-302 – Notice Filing.
421-B:3-302 Notice Filing. – (a) Required filing of records. Any person offering a federal covered security, that is not a security described in section 18(b)(4)(F) of the Securities Act of 1933, 15 U.S.C. section 77r(b)(4)(F), and is not exempt under RSA 421-B:2-201 through RSA 421-B:2-203, shall file all of the following records: (1)(A) before […]
Section 421-B:3-303 – Securities Registration by Coordination.
421-B:3-303 Securities Registration by Coordination. – (a) Registration permitted. A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. (b) Required records. A registration statement and accompanying records under this section must contain or […]
Section 421-B:3-304 – Securities Registration by Qualification.
421-B:3-304 Securities Registration by Qualification. – (a) Registration permitted. A security may be registered by qualification under this section. (b) Required records. A registration statement under this section must contain the information or records specified in RSA 421-B:3-305, a consent to service of process complying with RSA 421-B:6-611, and the following information or records, […]