Uniform Securities Act

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  2. New Hampshire Revised Statutes
  3. Securities
  4. Uniform Securities Act

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Section
421-B:1-101

Short Title.

Section
421-B:1-102

Definitions.

Section
421-B:1-103

References to Federal Statutes.

Section
421-B:1-104

References to Federal Agencies.

Section
421-B:1-105

Electronic Records and Signatures.

Section
421-B:2-201

Exempt Securities.

Section
421-B:2-202

Exempt Transactions.

Section
421-B:2-202-A

Implementing Provisions.

Section
421-B:2-203

Additional Exemptions and Waivers.

Section
421-B:2-204

Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions.

Section
421-B:3-301

Securities Registration Requirement.

Section
421-B:3-302

Notice Filing.

Section
421-B:3-303

Securities Registration by Coordination.

Section
421-B:3-304

Securities Registration by Qualification.

Section
421-B:3-305

Securities Registration Filings.

Section
421-B:3-306

Denial, Suspension, and Revocation of Securities Registration.

Section
421-B:3-307

Waiver and Modification.

Section
421-B:4-401

Broker-Dealer Registration Requirements and Exemptions.

Section
421-B:4-402

Agent Registration Requirements and Exemptions.

Section
421-B:4-403

Investment Adviser Registration Requirements and Exemptions.

Section
421-B:4-404

Investment Adviser Representative Registration Requirement and Exemptions.

Section
421-B:4-405

Federal Covered Investment Adviser Notice Filing Requirement.

Section
421-B:4-406

Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

Section
421-B:4-407

Succession and Change in Registration of Broker-Dealer or Investment Adviser.

Section
421-B:4-408

Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association.

Section
421-B:4-409

Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

Section
421-B:4-410

Filing Fees.

Section
421-B:4-411

Postregistration Requirements.

Section
421-B:4-412

Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration.

Section
421-B:5-501

Fraud and Liabilities.

Section
421-B:5-502

Prohibited Conduct in Providing Investment Advice.

Section
421-B:5-502-A

Custody of Client Funds or Securities by Investment Advisers.

Section
421-B:5-503

Evidentiary Burden.

Section
421-B:5-504

Filing of Sales and Advertising Literature.

Section
421-B:5-505

Misleading Filings.

Section
421-B:5-506

Misrepresentations Concerning Registration or Exemption.

Section
421-B:5-507

Qualified Immunity.

Section
421-B:5-507-A

Financial Exploitation of Vulnerable Adults.

Section
421-B:5-508

Criminal Penalties.

Section
421-B:5-509

Civil Liability.

Section
421-B:5-510

Rescission Offers.

Section
421-B:6-601

Administration of Chapter.

Section
421-B:6-602

Investigations and Subpoenas.

Section
421-B:6-603

Civil Enforcement.

Section
421-B:6-604

Administrative Enforcement.

Section
421-B:6-605

Orders, Interpretative Opinions, and Hearings.

Section
421-B:6-606

Administrative Files and Opinions.

Section
421-B:6-607

Public Records; Confidentiality.

Section
421-B:6-608

Uniformity and Cooperation with Other Agencies.

Section
421-B:6-609

Judicial Review.

Section
421-B:6-610

Jurisdiction.

Section
421-B:6-611

Service of Process.

Section
421-B:6-612

Severability Clause.

Section
421-B:6-613

Hearing Procedures.

Section
421-B:6-614

Fees.

Section
421-B:7-701

Application of Act to Existing Proceeding and Existing Rights and Duties.