New Hampshire Statutes

Table of Contents

421-B: UNIFORM SECURITIES ACT

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.