Securities Regulation


 

 

Broker-Dealer
Mass Transfers

 

A mass transfer of agents from one firm to another results in amended agents' licenses. Prior to the mass transfer, the broker-dealer must submit a list of all New Hampshire agents to be transferred including their CRD numbers and a fee of $25 per agent to be transferred directly to the WebCRD. Please notify the Bureau in writing with the exact date the fees have been paid.

 

 

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