Section 421-B:3-305 – Securities Registration Filings.
421-B:3-305 Securities Registration Filings. – (a) Who may file. A registration statement may be filed by the issuer, a person on whose behalf the offering is to be made, or a broker-dealer registered under this chapter. (b) Filing fee. A person filing a registration statement shall pay a filing fee. If a registration statement […]
Section 421-B:3-306 – Denial, Suspension, and Revocation of Securities Registration.
421-B:3-306 Denial, Suspension, and Revocation of Securities Registration. – (a) Stop orders. The secretary of state may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the secretary of state finds that the order is in the public interest and that: (1) the registration statement […]
Section 421-B:3-307 – Waiver and Modification.
421-B:3-307 Waiver and Modification. – The secretary of state may waive or modify, in whole or in part, any or all of the requirements of RSA 421-B:3-302, RSA 421-B:3-303, and RSA 421-B:3-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to RSA 421-B:3-305(i). […]
Section 421-B:4-401 – Broker-Dealer Registration Requirements and Exemptions.
[Subsection (b)(3) effective January 1, 2023.] 421-B:4-401 Broker-Dealer Registration Requirements and Exemptions. – (a) Registration requirement. It is unlawful for a person to transact business in this state as a broker-dealer unless the person is registered under this chapter as a broker-dealer or is exempt from registration as a broker-dealer under subsection (b) or […]
Section 421-B:4-402 – Agent Registration Requirements and Exemptions.
421-B:4-402 Agent Registration Requirements and Exemptions. – (a) Registration requirement. It is unlawful for an individual to transact business in this state as an agent unless the individual is registered under this chapter as an agent or is exempt from registration as an agent under subsection (b). (b) Exemptions from registration. The following individuals […]
Section 421-B:4-403 – Investment Adviser Registration Requirements and Exemptions.
421-B:4-403 Investment Adviser Registration Requirements and Exemptions. – (a) Registration requirement. It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this chapter as an investment adviser or is exempt from registration as an investment adviser under subsection (b). (b) Exemptions from […]
Section 421-B:2-204 – Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions.
421-B:2-204 Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions. – (a) Enforcement related powers. Except with respect to securities or a transaction preempted by section 18(b) of the Securities Act of 1933, an order by the secretary of state under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created […]
Section 421-B:1-101 – Short Title.
421-B:1-101 Short Title. – This chapter may be cited as the New Hampshire Uniform Securities Act. Source. 2015, 273:1, eff. Jan. 1, 2016.
Section 421-B:1-102 – Definitions.
[Subsection (35-a) effective January 1, 2023.] 421-B:1-102 Definitions. – In this chapter, unless the context otherwise requires: (1) " Advertisement " means any notice, circular, letter, or other written communication that is given to more than one person or any other announcement in any publication, by radio, television, or other electronic media, that offers: […]
Section 421-B:1-103 – References to Federal Statutes.
421-B:1-103 References to Federal Statutes. – "Securities Act of 1933" (15 U.S.C. section 77a et seq.), "Securities Exchange Act of 1934" (15 U.S.C. section 78a et seq.), "Public Utility Holding Company Act of 1935" (15 U.S.C. section 79 et seq. ), "Investment Company Act of 1940" (15 U.S.C. section 80a-1 et seq.), "Investment Advisers […]