Canadian Agent Initial Application

CANADIAN AGENT INITIAL APPLICATION FILING PROCEDURES

An agent who will be representing a Canadian broker-dealer licensed under this section, may obtain a New Hampshire license to effect transactions in securities in this state only as permitted for the broker-dealer in RSA 421-B:6,VIII.

An agent who will be representing a Canadian broker-dealer licensed under this section in effecting transactions in securities in this state may become licensed under this section, provided that the agent files:

(1) an originally signed application in the form required by the jurisdiction in which the broker-dealer has its head office;

(2) an originally signed and notarized consent to service of process unless the form in No.(1) above contains an applicable consent form; and

(3) evidence that the agent Is registered in good standing in the jurisdiction from which he or she is effecting transactions into this state; and

(4) an initial license fee of $130, checks are payable to the State of New Hampshire