Canadian Broker-Dealer Application Checklist

CANADIAN BROKER-DEALER LIMITED LICENSE PURSUANT TO NH RSA 421-B:6,VIII

A broker-dealer that is resident in Canada and has no office or other physical presence in New Hampshire, after obtaining a license in New Hampshire by following the procedures below, may offer and sell securities to:

(1) A person from Canada who is temporarily resident in New Hampshire with whom the Canadian broker-dealer had a bona fide broker-dealer client relationship before the person entered the United States; or

(2) A person from Canada who is resident in New Hampshire whose transactions are in a self-directed tax advantaged retirement plan in Canada of which the person is the holder or contributor.

CANADIAN BROKER-DEALER INITIAL APPLICATION FILING PROCEDURES

A Canadian broker-dealer may become licensed under this section, provided that the broker-dealer files:

(1) an originally signed application in the form required by the jurisdiction in which it has its head office; and

(2) an originally signed and notarized consent to service of process; (Form U-2) and

(3) evidence that it is registered as a broker or dealer in good standing in the jurisdiction from which it is effecting transactions into this state; and

(4) evidence that it is a member of a self-regulatory organization or stock exchange in Canada; and

(5) an initial license fee of $250, checks are payable to the State of New Hampshire