About the Bureau of Securities Regulation
Mission Statement: The two-fold mission of the Bureau of Securities Regulation is to provide equitable regulation for the protection of New Hampshire Investors while facilitating responsible capital formation in the state.
Putting Investors First
State securities regulators have been the front line of defense for Main St. investors for nearly 100 years. Many investors understandably feel that their local state securities regulator is the logical place to start with a grievance when they believe a broker or investment advisor has treated them unfairly. We are often first to identify investment scams and bring enforcement actions to halt or remedy a wide variety of investment-related violations and may be able to obtain restitution for New Hampshire residents as part of our enforcement actions. States are often an early warning system to alert the public, other regulators and policy makers to problems, and may work with national regulators such as the U.S. Securities and Exchange Commission (SEC) when necessary.
Investor Education: The Tool to Protect Investors from Fraud
An informed investor is the best defense against fraud. An investor who asks the right questions and checks with his or her securities regulator to determine if an investment and its salesperson are properly registered is less likely to be a victim of fraud. Investor education and financial literacy give investors the tools to protect themselves. We offer to the several information guides, tips, and other helpful information to investors through our investor education program, Invest Smart NH.
If you have a question about a particular security or feel you may have been the victim of a scam or an unscrupulous broker or financial adviser, please call the Bureau at (603) 271-1463 or file a complaint.
Facilitation of Responsible Capital Formation
The Bureau licenses securities brokerage firms, broker agents, and investment adviser firms and agents. In addition, it registers certain securities and approves exemptions from registration in other cases. The Bureau also investigates complaints about licensees and may take administrative or legal action against persons who violate the New Hampshire securities law.
Contact Us
Mailing Address
Bureau of Securities Regulation
State House, Room 204
107 North Main Street
Concord, NH 03301
Location
State House Annex, 3rd Floor
25 Capitol Street, Suite 317A
Concord, NH 03301
(603) 271-1463