New Hampshire Revised Statutes
Title 421-B - Uniform Securities Act
Section 421-B:4-406 - Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

New Hampshire Revised Statutes

Title XXXVIII - Securities

Title 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.