Section 421-B:6-604 – Administrative Enforcement.
421-B:6-604 Administrative Enforcement. – (a) Issuance of an order or notice. If the secretary of state determines that a person has engaged, is engaging, or is about to engage, in an act, practice, or course of business constituting a violation of this chapter or an order issued under this chapter, or that a person […]
Section 421-B:6-605 – Orders, Interpretative Opinions, and Hearings.
421-B:6-605 Orders, Interpretative Opinions, and Hearings. – (a) Issuance and adoption of forms, orders, and rules. The secretary of state may by order, define terms, whether or not used in this chapter, when those definitions are not inconsistent with this chapter. (b) Findings and cooperation. All actions undertaken by the secretary of state pursuant […]
Section 421-B:6-606 – Administrative Files and Opinions.
421-B:6-606 Administrative Files and Opinions. – (a) Public register of filings. The secretary of state shall maintain a register of all applications for registration of securities; registration statements; notice filings, applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been […]
Section 421-B:6-607 – Public Records; Confidentiality.
421-B:6-607 Public Records; Confidentiality. – (a) Presumption of public records. Except as otherwise provided in subsection (b), records obtained by the secretary of state or filed under this chapter, including a record contained in or filed with any registration statement, application, notice filing, or report, are public records and are available for public examination. […]
Section 421-B:6-608 – Uniformity and Cooperation with Other Agencies.
421-B:6-608 Uniformity and Cooperation with Other Agencies. – (a) Interstate cooperation. The secretary of state and the secretary of state’s staff shall maintain close relations with the securities and corporate administrators of other states and shall actively participate in the activities and affairs of the North American Security Administrators Association and other organizations so […]
Section 421-B:6-609 – Judicial Review.
421-B:6-609 Judicial Review. – Final orders issued by the secretary of state under this chapter are subject to judicial review in accordance with RSA 541. Source. 2015, 273:1, eff. Jan. 1, 2016.
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 […]