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:
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".