Securities Regulation


 

 


Issuer-Dealer

 

 

Pursuant to RSA 421-B:2, XIII-a, any entity organized in the State of New Hampshire, or whose principal office is in New Hampshire, who issues its own securities where the offering is not fully underwritten, must first obtain an issuer-dealer license.  Any representatives of such entity who offers the entity's securities must first be licensed as an agent of the issuer-dealer.

 

Issuer-Dealer & Agent
Application

 

 Issuer-Dealer Filing Requirements:

 
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