reglab/housing_qa huggingface dataset:
NH Rev Stat § 421-B:2-204 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:2-204 - Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions.

    421-B:2-204 Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions. –||(a) Enforcement related powers. Except with respect to securities or a transaction preempted by section 18(b) of the Securities Act of 1933, an order by the secretary of state under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under RSA 421-B:2-201(3)(C) or RSA 421-B:2-202 or an exemption or waiver created under RSA 421-B:2-203 with respect to a specific security, transaction, or offer. An order under this section may be issued only pursuant to the procedures in RSA 421-B:3-306(d) or RSA 421-B:6-604 and only prospectively.||(b) Knowledge of order required. A person does not violate RSA 421-B:3-301, RSA 421-B:3-303 through RSA 421-B:3-306, RSA 421-B:5-504, or RSA 421-B:5-510 by an offer to sell, offer to purchase, sale, or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order. For purposes of subsection (b), a person will be conclusively presumed to have knowledge of an order which is mailed to the last address specified by such person to the secretary of state, if any, or which is published in a newspaper of statewide circulation.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:3-301 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:3-301 - Securities Registration Requirement.

    421-B:3-301 Securities Registration Requirement. –||(a) It is unlawful for a person to offer or sell a security in this state unless:||(1) the security is a federal covered security;||(2) the security, transaction, or offer is exempted from registration under RSA 421-B:2-201 through RSA 421-B:2-203; or||(3) the security is registered under this chapter.||(b) Articles of incorporation for a new corporation or an application for a certificate of authority for a foreign corporation under RSA 293-A, articles of incorporation for a professional corporation or an application for a certificate of authority for a foreign professional corporation under RSA 294-A, an application for registration of a registered limited liability partnership or a notice of registration of a foreign registered limited liability partnership under RSA 304-A, a certificate of limited partnership for a new limited partnership or an application for registration of a foreign limited partnership under RSA 304-B, a certificate of formation for a new limited liability company or an application for registration as a foreign limited liability company under RSA 304-C, and a certificate of formation for a new professional limited liability company or an application for registration as a foreign professional limited liability company under RSA 304-D shall contain a statement that the capital stock of the corporation, memberships, or the interests of the limited partnership, limited liability partnership, or limited liability company have been registered, or when offered will be registered, under this chapter or are exempted, or when offered will be exempted, under this chapter, or are or will be offered in a transaction exempted from registration under this chapter, or are not securities under this chapter, or are federal covered securities under this chapter. In the case of a New Hampshire corporation, professional corporation, limited partnership, registered limited liability partnership, limited liability company, or professional limited liability company, the articles of incorporation, certificate of limited partnership, or certificate of formation shall state that the capital stock, memberships, or interests in the limited partnership, limited liability partnership, or limited liability company will be sold or offered for sale in compliance with this chapter. The statement included pursuant to this paragraph shall not by itself constitute a registration, or a notice of exemption from registration, of securities within the meaning of sections 448 and 461(i)(3) of the United States Internal Revenue Code and the regulations promulgated thereunder.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:3-307 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:3-307 - Waiver and Modification.

    421-B:3-307 Waiver and Modification. –||The secretary of state may waive or modify, in whole or in part, any or all of the requirements of RSA 421-B:3-302, RSA 421-B:3-303, and RSA 421-B:3-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to RSA 421-B:3-305(i).|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:4-405 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:4-405 - Federal Covered Investment Adviser Notice Filing Requirement.

    421-B:4-405 Federal Covered Investment Adviser Notice Filing Requirement. –||(a) Notice filing requirement. Except with respect to a federal covered investment adviser described in subsection (b), it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection (c).||(b) Notice filing requirement not required. The following federal covered investment advisers are not required to comply with subsection (c):||(1) a federal covered investment adviser without a place of business in this state if its only clients in this state are:||(A) federal covered investment advisers, investment advisers registered under this chapter, and broker-dealers registered under this chapter;||(B) institutional investors;||(C) bona fide preexisting clients whose principal places of residence are not in this state; or||(D) other clients specified by order issued under this chapter;||(2) any other person excluded by order issued under this chapter.||(c) Notice filing procedure. A person acting as a federal covered investment adviser, not excluded under subsection (b), shall file a notice, a consent to service of process complying with RSA 421-B:6-611, and such records as have been filed with the SEC under the Investment Advisers Act of 1940 required by order issued under this chapter and pay the fees specified in RSA 421-B:4-410(c). Initial fees shall be paid before business is transacted in this state, and annual fees shall be paid on or before December 31 of the current year for the ensuing year. Federal covered advisers shall submit copies to the secretary of state of all documents filed with the SEC pursuant to the federal securities laws within 10 business days of their submission to the SEC. Documents and fees that are accepted by IARD may be submitted through IARD. Other documents filed or deemed filed with the SEC shall be submitted directly to the secretary of state.||(d) Effectiveness of filing. The notice under subsection (c) becomes effective upon its filing.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:4-407 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:4-407 - Succession and Change in Registration of Broker-Dealer or Investment Adviser.

    421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser. –||(a) Succession. A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser, by filing as a successor an application for registration pursuant to RSA 421-B:4-401 or RSA 421-B:4-403 or a notice pursuant to RSA 421-B:4-405 for the unexpired portion of the current registration or notice filing.||(b) Organizational change. A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within 45 days after filing its amendment to effect succession.||(c) Name change. A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration and paying the fees set forth in RSA 421-B:6-614. The amendment becomes effective when filed or on a date designated by the registrant.||(d) Change of control. A change of control of a broker-dealer or investment adviser may be made in accordance with an order issued under this chapter.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:4-409 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:4-409 - Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

    421-B:4-409 Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative. –||(a) The secretary of state may determine by order the requirements and procedures for withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative. Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by order issued under this chapter unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by order issued under this chapter. The secretary of state may institute a revocation or suspension proceeding under RSA 421-B:4-412 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.||(b) The application for withdrawal of licensure as an investment adviser under the Investment Advisers Act of 1940 shall be completed by following the instructions to Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) (17 C.F.R. section 279.2) and filed upon Form ADV-W with the IARD.||(c) The application for withdrawal of licensure as an investment adviser representative under the Investment Advisers Act of 1940 shall be completed by following the instructions to Form U-5 (Uniform Termination Notice for Securities Industry Registration) and filed upon Form U-5 with the IARD.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:4-410 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:4-410 - Filing Fees.

    421-B:4-410 Filing Fees. –||(a) Broker-dealers. A person shall pay a fee of $300 when initially filing an application for registration as a broker-dealer and a fee of $250 when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the secretary of state shall retain $50 of the fee.||(b) Agents. The fee for an individual is $130 when filing an application for registration as an agent, a fee of $100 when filing a renewal of registration as an agent, and a fee of $25 when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the secretary of state shall retain $30 of the fee.||(c) Investment advisers. A person shall pay a fee of $250 when filing an application for registration as an investment adviser and a fee of $200 when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the secretary of state shall retain $50 of the fee.||(d) Investment adviser representatives. The fee for an individual is $125 when filing an application for registration as an investment adviser representative, a fee of $100 ($50 per agent; $50 per license) when filing a renewal of registration as an investment adviser representative, and a fee of $100 when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the secretary of state shall retain $25 of the fee.||(e) Federal covered investment advisers. A federal covered investment adviser required to file a notice under RSA 421-B:4-405 shall pay an initial fee of $250 and an annual notice fee of $200.||(f) Payment. A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as a rule or order provides under this chapter.||(g) Dual agent/investment adviser representative. An investment adviser representative who is registered as an agent under RSA 421-B:4-402 and who represents a person that is both registered as a broker-dealer under RSA 421-B:4-401 and registered as an investment adviser under RSA 421-B:4-403 or required as a federal covered investment adviser to make a notice filing under RSA 421-B:4-405 is not required to pay an initial or annual registration fee for registration as an investment adviser representative.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-503 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-503 - Evidentiary Burden.

    421-B:5-503 Evidentiary Burden. –||(a) Civil. In a civil action or administrative proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim.||(b) Criminal. In a criminal proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden of going forward with evidence of the claim.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-504 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-504 - Filing of Sales and Advertising Literature.

    421-B:5-504 Filing of Sales and Advertising Literature. –||(a) Filing requirement. Except as otherwise provided in subsection (b), an order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.||(b) Secretary of state's discretionary information requests. The secretary of state may require at any reasonable time and in any reasonable manner from any person or issuer subject to this title, statements; reports, including reports audited by independent public accountants and sales reports; answers to questionnaires; and other information and evidence thereof, in whatever reasonable form the secretary of state designates, and at such reasonable intervals as the secretary of state may choose, or from time to time.||(c) Excluded communications. This section does not apply to sales and advertising literature specified in subsection (a), or statements, reports or any other information referenced in subsection (b), which relate to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by RSA 421-B:2-201, RSA 421-B:2-202, or RSA 421-B:2-203 except as required pursuant to RSA 421-B:2-201(7).|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-505 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-505 - Misleading Filings.

    421-B:5-505 Misleading Filings. –||It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or misleading in a material respect, or, in connection with the statement, to omit to state a material fact necessary to make the statement made, in the light of the circumstances under which it was made, not false or misleading.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-506 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-506 - Misrepresentations Concerning Registration or Exemption.

    421-B:5-506 Misrepresentations Concerning Registration or Exemption. –||The filing of an application for registration, a registration statement, a notice filing under this chapter, the registration of a person, the notice filing by a person, or the registration of a security under this chapter does not constitute a finding by the secretary of state that a record filed under this chapter is true, complete, and not misleading. The filing or registration or the availability of an exemption, exception, preemption, or exclusion for a security or a transaction does not mean that the secretary of state has passed upon the merits or qualifications of, or recommended or given approval to, a person, security, or transaction. It is unlawful to make, or cause to be made, to a purchaser, customer, client, or prospective customer or client a representation inconsistent with this section.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-507 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-507 - Qualified Immunity.

    421-B:5-507 Qualified Immunity. –||A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating to a statement that is contained in a record required by the secretary of state, or designee of the secretary of state, the Securities and Exchange Commission, or a self-regulatory organization, unless the person knew, or should have known at the time that the statement was made, that it was false in a material respect or the person acted in reckless disregard of the statement's truth or falsity.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:5-508 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:5-508 - Criminal Penalties.

    421-B:5-508 Criminal Penalties. –||(a) Any person who willfully violates any provisions of RSA 421-B:5-501(a) or RSA 421-B:5-502(a) or a cease and desist order or injunction issued pursuant to RSA 421-B:6-603 or RSA 421-B:6-604, or who violates RSA 421-B:5-505 knowing that the statement was false or misleading in any material respect, shall be guilty of a class B felony. Each of the acts specified shall constitute a separate offense and a prosecution or conviction for any one of such offenses shall not bar prosecution or conviction for any other offense.||(b) Any person who willfully violates RSA 421-B:4-401(a), RSA 421-B:4-402(a), RSA 421-B:4-403(a), RSA 421-B:3-301(a), or RSA 421-B:5-506 shall be guilty of a misdemeanor. Each of the acts specified shall constitute a separate offense and a prosecution or conviction for any one of such offenses shall not bar prosecution or conviction for any other offense. For any subsequent offense, any person shall be guilty of a class B felony.||(c) Nothing in this chapter limits the power of the state to punish any person for any conduct which constitutes a crime by statute.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|
NH Rev Stat § 421-B:6-605 (2021)
2021 New Hampshire Revised Statutes|Title XXXVIII - Securities|Title 421-B - Uniform Securities Act|Section 421-B:6-605 - Orders, Interpretative Opinions, and Hearings.

    421-B:6-605 Orders, Interpretative Opinions, and Hearings. –||(a) Issuance and adoption of forms, orders, and rules. The secretary of state may by order, define terms, whether or not used in this chapter, when those definitions are not inconsistent with this chapter.||(b) Findings and cooperation. All actions undertaken by the secretary of state pursuant to this section shall be taken only when the secretary of state finds such action necessary or appropriate to the public interest or for the protection of investors and consistent with the purposes fairly intended by the policy and provisions of this title. In preparing forms, setting standards, and reviewing offerings, the secretary of state may cooperate with the securities regulators of other states, self regulatory organizations, and the Securities and Exchange Commission in order to implement the policy of this chapter in an efficient and effective manner and to achieve maximum uniformity in the form and content of registration statements, applications, reports, and requirements for issuers, broker-dealers, and investment advisors, where practicable.||(c) Financial statements. Subject to section 15(h) of the Securities Exchange Act and Section 222 of the Investment Advisers Act of 1940, the secretary of state may require that a financial statement filed under this chapter be prepared in accordance with generally accepted accounting principles in the United States and comply with other requirements specified by rule or order under this chapter. Subject to section 15(h) of the Securities Exchange Act and section 222 of the Investment Advisors Act of 1940, a rule or order under this chapter may establish the form and content of financial statements required under this chapter.||(d) Interpretative opinions. The secretary of state may provide interpretative opinions or may issue determinations that the secretary of state will not institute an enforcement proceeding or commence an action under this chapter against a specified person for engaging in a specified act, practice, or course of business if the determination is consistent with the purposes intended by this chapter. The secretary of state may assess a reasonable charge for interpretative opinions or determinations that the secretary of state will not commence an action or institute an enforcement proceeding under this chapter.|||Source. 2015, 273:1, eff. Jan. 1, 2016.|