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: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, […]
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 […]
Section 421-B:1-104 – References to Federal Agencies.
421-B:1-104 References to Federal Agencies. – A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. Source. 2015, 273:1, eff. Jan. 1, 2016.