Registration of Securities
Information on registering securities in New Hampshire
Notice Filings
Notice Filings
Information of filing open-end mutual funds, closed-end funds, regulation D and regulation A+ tier offerings, and secondary trading funds.
Public Offering
Public Offering
Information on filing securities for public offering with the Bureau of Securities Regulation.
Exemptions
The following offerings are exempt under the Securities Act of 1933 §4(2) but filing requirements remain:
Rule 506: For an offering under Regulation D, Rule 506, a notice filing with the Bureau must be made under New Hampshire RSA 421-B:3-302(c). The fee is $500.
Other Offerings. For any other offerings under 3(b) or 4(2), including Regulation D, Rule 504, a registration filing may be necessary under RSA 421-B:3-304. For fees, please refer to RSA 421-B:6-614.
For a complete guide to Regulation D Offerings, please refer to 17 CFR 230.501 through 17 CFR 230.508, by accessing the federal government’s online database.
Other Information
Questions regarding qualifications and requirements for Regulation D Offerings should be directed to the Securities and Exchange Commission (SEC) Office of Small Business Policy.
Questions regarding New Hampshire filing requirements should be directed to the Bureau of Securities Regulation at (603) 271-1463.