Canadian Broker-Dealer Withdrawals

State of New Hampshire

Bureau of Securities Regulation

CANADIAN BROKER-DEALER AND AGENT LICENSE WITHDRAWALS

WITHDRAWAL PROCEDURES:

Broker-Dealers:

Submit a written request for withdrawal of the broker-dealer's license to the Bureau. In the alternative, a withdrawal form used by the jurisdiction in which the broker-dealer has its head office may be used.

Agents:

Submit a written request for withdrawal of the agent's license to the Bureau. In the alternative, a withdrawal form used by the jurisdiction in which the broker-dealer has its head office may be used.