Securities Regulation


 


Canadian Broker-Dealer
and Agent License Renewals

RENEWAL PROCEDURES:
All licenses expire on December 31st of each year unless renewed. Renewal applications for Canadian broker-dealers and agents under this section shall be filed with the Bureau before December 1st each year and shall include for:

Broker-Dealers:

  1. a copy of the most recent renewal application, if any, filed in the jurisdiction in which the broker-dealer has its head office, or if no such renewal application is required,

  2. a letter stating that none is required and that the broker-dealer intends to renew in New Hampshire, signed by an officer of the broker-dealer and

  3. the renewal fee of $250, checks are payable to the State of New Hampshire

Agents:

  1. a copy of the most recent renewal application, if any, filed in the jurisdiction in which the broker-dealer has its head office, or if no such renewal application is required,

  2. a letter stating that none is required and that the agent intends to renew in New Hampshire, signed by an officer of the broker-dealer and

  3. the renewal fee of $100, checks are payable to the State of New Hampshire

 

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