Section 421-B:4-410 – Filing Fees.
421-B:4-410 Filing Fees. – (a) Broker-dealers. A person shall pay a fee of $300 when initially filing an application for registration as a broker-dealer and a fee of $250 when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the secretary of state shall retain $50 […]
Section 421-B:4-411 – Postregistration Requirements.
421-B:4-411 Postregistration Requirements. – (a) Financial requirements. Subject to the Securities Exchange Act of 1934, 15 U.S.C. section 78o(h), or the Investment Advisers Act of 1940, 15 U.S.C. section 80b-18a, an order issued under this chapter may establish minimum financial requirements for broker-dealers registered or required to be registered under this chapter and investment […]
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 […]
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, […]