New Hampshire Revised Statutes
Title XXXVIII - Securities
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.

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New Hampshire Revised Statutes Title XXXVIII - Securities Title 421-B - Uniform Securities Act

New Hampshire Revised Statutes
Title XXXVIII - Securities
Title 421-B - Uniform Securities Act