N.H. Issuer-Dealer Notice Filing

  • winteryscene

    Pursuant to RSA 421-B:6, I-a, in connection with an offering of securities made pursuant to section 18(b)(4)(D) of the Securities Act of 1933 (Regulation D Rule 506) that requires only a notice filing in this state pursuant to RSA 421-B:11, I-a(e), the required issuer-dealer license may be obtained by filing a notice on the prescribed form within 15 days of the date of the first sale made in or from this state.  The Director's Notice dated July 9, 2001 lists the abbreviated filing requirements for issuer-dealer and agent licensure when made in conjunction with Regulation D Rule 506 offerings.  Provided that the application is complete and accompanied by the appropriate fees, the license will become effective without further action or review by the secretary of state. 

    Application Checklist 

    Notice of the Director 

    Name Change 


    Financing Statement