New Hampshire Revised Statutes
Title XXXVIII - Securities

Title 421-A - Disclosure of Security Takeovers

Section 421-A:1 - Short Title. - Source. 1977, 20:1, eff. Mar. 25, 1977.

Section 421-A:2 - Definitions. - Source. 1977, 20:1. 1983, 144:1, 2. 1987, 411:14, 15. 1988,...

Section 421-A:3 - Requirement of Financial Disclosure. - Source. 1977, 20:1. 1983, 144:3. 1988, 62:13. 1991, 355:89, I....

Section 421-A:4 - Contents of Registration Statement. - Source. 1977, 20:1. 1988, 62:13. 1989, 21:1. 1991, 355:89, I....

Section 421-A:5 - Scheduling of Public Hearing. - Source. 1977, 20:1. 1983, 144:4. 1988, 62:13. 1991, 355:89, I....

Section 421-A:6 - Prohibition of Takeover Bid. - Source. 1977, 20:1. 1983, 144:5. 1988, 62:13. 1991, 355:89, I....

Section 421-A:7 - Tender and Withdrawal of Shares. - Source. 1977, 20:1. 1983, 144:6, eff. Aug. 6, 1983.

Section 421-A:8 - Fraudulent, Deceptive or Manipulative Practices. - Source. 1977, 20:1. 1987, 411:13. 1988, 62:8, 13. 1991, 355:89,...

Section 421-A:9 - Administration. - Source. 1977, 20:1. 1983, 144:7. 1988, 62:9, 13. 1991, 355:89,...

Section 421-A:10 - Designation of Secretary of State for Service. - Source. 1977, 20:1, eff. Mar. 25, 1977.

Section 421-A:11 - Enforcement. - Source. 1977, 20:1. 1988, 62:10, 11, 13. 1991, 355:69, 89,...

Section 421-A:12 - Appeal to Superior Court. - Source. 1977, 20:1. 1988, 62:13. 1991, 355:89, I, 90. 1992,...

Section 421-A:13 - Criminal Penalties. - Source. 1977, 20:1. 1988, 62:12. 1991, 355:70, eff. July 1,...

Section 421-A:14 - Civil Liability of Offeror for Violations. - Source. 1977, 20:1, eff. Mar. 25, 1977.

Section 421-A:15 - Exclusions. - Source. 1977, 20:1. 1983, 144:8, eff. Aug. 6, 1983.

Section 421-A:16 - Severability. - Source. 1983, 144:9, eff. Aug. 6, 1983.

Section 421-A:17 - Reconciliation With Other Laws. - Source. 1987, 411:16, eff. May 26, 1987.

Title 421-B - Uniform Securities Act

Section 421-B:1-101 - Short Title. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:1-102 - Definitions. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:1-4, eff....

Section 421-B:1-103 - References to Federal Statutes. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:1-104 - References to Federal Agencies. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:1-105 - Electronic Records and Signatures. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:2-201 - Exempt Securities. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2018, 99:1, eff....

Section 421-B:2-202 - Exempt Transactions. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:5, 6,...

Section 421-B:2-202-A - Implementing Provisions. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:7, 8,...

Section 421-B:2-203 - Additional Exemptions and Waivers. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:2-204 - Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:3-301 - Securities Registration Requirement. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:3-302 - Notice Filing. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:9-11, eff....

Section 421-B:3-303 - Securities Registration by Coordination. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:3-304 - Securities Registration by Qualification. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:3-305 - Securities Registration Filings. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:12, eff....

Section 421-B:3-306 - Denial, Suspension, and Revocation of Securities Registration. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:3-307 - Waiver and Modification. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-401 - Broker-Dealer Registration Requirements and Exemptions. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2018, 106:1, eff....

Section 421-B:4-402 - Agent Registration Requirements and Exemptions. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:13, eff....

Section 421-B:4-403 - Investment Adviser Registration Requirements and Exemptions. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-404 - Investment Adviser Representative Registration Requirement and Exemptions. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-405 - Federal Covered Investment Adviser Notice Filing Requirement. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-406 - Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:14, eff....

Section 421-B:4-407 - Succession and Change in Registration of Broker-Dealer or Investment Adviser. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-408 - Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-409 - Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-410 - Filing Fees. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-411 - Postregistration Requirements. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:4-412 - Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:15, eff....

Section 421-B:5-501 - Fraud and Liabilities. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-502 - Prohibited Conduct in Providing Investment Advice. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-502-A - Custody of Client Funds or Securities by Investment Advisers. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-503 - Evidentiary Burden. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-504 - Filing of Sales and Advertising Literature. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-505 - Misleading Filings. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-506 - Misrepresentations Concerning Registration or Exemption. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-507 - Qualified Immunity. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-507-A - Financial Exploitation of Vulnerable Adults. - Source. 2019, 204:1, eff. Sept. 8, 2019.

Section 421-B:5-508 - Criminal Penalties. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-509 - Civil Liability. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:5-510 - Rescission Offers. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-601 - Administration of Chapter. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-602 - Investigations and Subpoenas. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-603 - Civil Enforcement. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-604 - Administrative Enforcement. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2018, 106:2, eff....

Section 421-B:6-605 - Orders, Interpretative Opinions, and Hearings. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-606 - Administrative Files and Opinions. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-607 - Public Records; Confidentiality. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-608 - Uniformity and Cooperation with Other Agencies. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-609 - Judicial Review. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-610 - Jurisdiction. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-611 - Service of Process. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-612 - Severability Clause. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-613 - Hearing Procedures. - Source. 2015, 273:1, eff. Jan. 1, 2016.

Section 421-B:6-614 - Fees. - Source. 2015, 273:1, eff. Jan. 1, 2016. 2017, 172:16, eff....

Section 421-B:7-701 - Application of Act to Existing Proceeding and Existing Rights and Duties. - Source. 2015, 273:1, eff. Jan. 1, 2016.