Broker-Dealer & Agent Representative Registration

All initial fees and Forms BD and U-4 must be filed through the Central Registration Depository (CRD). All other documents must continue to be submitted directly to the Bureau to complete the application.

1. Forms
   Corporation - Consent to Service of Process (Form U-2)
   Corporation - Corporation Resolution (Form U-2a)
   LLC - Consent to Service of Process (Form U-2)
   LLP - Consent to Service of Process (Form U-2)
2. Certificate
   LLC - Certificate of Formation
   LLP - Certificate of Formation
3. Articles
   Corporation - Articles of Corporation
   LLC - Articles of Organization
   LLP - Articles of Organization
4. By-laws/member agreement
   Corporation - By-Laws
   LLC - Operating and Management or Membership Agreement
   LLP - Partnership Agreement
5. Compliance manual
   Corporation - Written Supervisory Procedures Manual (can be on flash drive or other electronic media)
   LLC - Written Supervisory Procedures Manual (can be on flash drive or other electronic media)
   LLP - Written Supervisory Procedures Manual (can be on flash drive or other electronic media)
6. Financial statement
   Corporation - Latest Audited Financial Statement
   LLC - Latest Audited Financial Statement
   LLP - Latest Audited Financial Statement
7. Interim report
   Corporation - Most recent Focus report if Audited F/S is more than 6 months old
   LLC - Most recent Focus report if Audited F/S is more than 6 months old
   LLP - Most recent Focus report if Audited F/S is more than 6 months old
8. Fees
   Firm - $300 (Pay on Web CRD)
   Designated Principal - $130 (Pay on Web CRD) see below for requirements
9. Designated principal
   All - Complete Form U-4 submitted through Web CRD for one principal who has been a FINRA registered "GP" for 3 of the last 5 years and who has been in the business of managing a broker-dealer for 3 of the last 5 years.
10. Additional info
    All - Self-addressed, stamped envelope
    All - Please be advised, a surety bond is no longer required for FINRA member broker-dealers.

FINRA Member Broker-Dealers:

Submit the $250 renewal fee for the ensuing year to Web CRD prior to December 31st of each year, in accordance with Web CRD's processing schedule.

Non-FINRA Member Broker-Dealers:

Submit the $250 renewal fee for the ensuing year directly to the Bureau prior to December 31st of each year.

FINRA Member Broker-Dealers:
Submit Form BDW through Web CRD. No fee. A withdrawal confirmation will be sent to the firm.

Non-FINRA Member Broker-Dealers:
Submit Form BDW directly to the Bureau. No fee. A withdrawal confirmation will be sent to the firm.

No fee. Notification (a letter or a paper copy of Schedule E of Form BD) must be sent directly to the Bureau prior to the opening of and immediately after the closing of a New Hampshire branch office. Include the branch manager's name, CRD number, branch address, telephone number and date of opening or closing. Every N.H. branch office of a broker-dealer must be supervised by a Series 24 principal (Series 26 if investment company products only are sold at the location). Please indicate in your letter the name and CRD number of the principal assigned to supervise the branch location.

Branch Office Definition: RSA 421-B:1-102

If any broker-dealer changes its name, it must file for an amended license. If the SEC and the FINRA are treating the change as an amendment (the CRD and SEC numbers assigned to the company will not change), then the State of New Hampshire will treat the change as an amendment to the broker-dealer license. In order to effect the amendment, please submit the following directly to the Bureau:

1. Amendment to the Articles of Incorporation which effected the name change (or other similar documents filed with the state of organization, such as amended LP, LLC or LLP documents).
2. Provide a list of agents licensed in the state of New Hampshire along with CRD number on the date that the name change filing was made with the state of organization.
3. Form U-2 in the amended name.
4. Form U-2a if the licensee is a corporation or the person signing the U-2 represents a corporate general partner or member.

Upon receipt of the above, by the Bureau, an amended license will be issued.

NOTE: The above filing requirements are to be made with the Bureau of Securities Regulation and not through Web CRD. Associated fees should be paid directly to the Bureau. Checks may be payable to the "State of New Hampshire".

No fee. A complete audited financial statement must be filed directly with and received by the Bureau on or before the 60th day from the date of the firm's fiscal year end [FYE]. An automated extension of time to file, up to a period of 60 days (which will then make the financial statement due within 120 days from the firm's FYE), will be granted upon receipt by the Bureau of a written request from the firm. If an extension of time to file is granted by the SEC or FINRA and a copy of confirmation of such extension is received by the Bureau within 60 days from the firm's fiscal year end, such extension will be honored by the Bureau. A statutory $25 per day penalty will be assessed for each day the filing is late beyond the initial (60 days) or extended (120 days or FINRA/SEC extension) time period.

These filings are to be submitted through the CRD system if the broker-dealer is a FINRA member. If the broker-dealer is not a FINRA member, then the filings must be submitted directly to the Bureau.

Change of control

No fee. Submit Form BD Schedule C

All other amendments to form bd 

No fee. Submit amended pages of Form BD through Web CRD. If a Schedule E filing involves a New Hampshire branch office, notice of such opening, closing, or change of address or branch manager must be submitted directly to the Bureau on a copy of Schedule E, or in a letter containing the required information.

FINRA Members:

Submit a Form U-4 and a fee of $130 to Web CRD.

Non-FINRA Brokers-Dealers:

Submit a complete, manually signed (in all applicable places), Form U-4 and a fee of $130 directly to the Bureau. Submit proof of passage of Series 63 or Series 66 examination. Confirmation of licensure will be sent by the Bureau.

FINRA Members

No fee. File amendments to Form U-4 with Web CRD in accordance with the instructions on Form U-4 and FINRA Rules.

Non-FINRA Broker-Dealers

No fee. Submit amendments to Form U-4 directly to the Bureau, in accordance with the instructions on Form U-4. All material information on Form U-4 on file with the Bureau must be current at all times.

FINRA Members:

Submit a renewal fee of $100 per agent to Web CRD before December 31st of each year, for the ensuing year, in accordance with Web CRD's processing schedule.

Non-FINRA Broker-Dealers:

On or before December 31st of each year, submit a renewal fee of $100 per agent directly to the Bureau for registration in the ensuing year.

FINRA Members:

No fee. Submit a Form U-5 to Web CRD.

Non-FINRA Broker-Dealers:

No fee. Submit a Form U-5 with original signatures directly to the Bureau.

Each applicant for individual broker-dealer agent registration shall provide to the Secretary of State or to CRD, proof of obtaining a passing score(s) on one of the following examination requirements:

1. The Uniform Securities Agent State Law Examination (Series 63); or
   The General Securities Representative Examination (Series 7) AND The Uniform Combined State
2. Law Examination (Series 66)