Secondary Trading

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    [Section 18(b)(4)(A) of the Securities Act of 1933] 

    See RSA 421-B:11, I-a(c) 

    INITIAL FILING REQUIREMENT 

    1.  One-time filing fee of $500.  Check should be payable to the "State of New Hampshire". 
    2.  Form U-2 
    3.  Copy of the most recent 10-K and 10-Q reports filed with the Securities and Exchange Commission (S.E.C.). 
    4.  Name of a New Hampshire licensed broker-dealer engaged in the distribution of the securities. 

    ADDITIONAL FILING REQUIREMENTS AND CONSIDERATIONS 

    1.  There is no annual renewal or sales report filing requirements.