Lydea Irwin with the New Hampshire Secretary of State’sBureau of Securities Regulation is the Concord YoungProfessionals Network's “Young Professional of the Month.”Congratulations Lydea!Click here to read the full story.
Effective July 24, 2018, the Bureau of Securities Regulationno longer requires a notice filing or fee for industrial bonds. They are now considered exempt securities underRSA 421-B:2-201(1). This exemption is self-executing.
Revised N.H. Uniform Securities Act (effective January 1, 2016)
Bureau Announces Launch of Electronic Filing DepositoryMake a Rule 506 Filing through EFD
Frequently Asked Questions Regarding Regulation D Offerings
In the Matter of Local Government Center - Related Case Filings
Property-Liability Trust, Inc. - Run-offInformation
Segal Report: July 28, 2011 (8/03/2011)
Local Government Center, Inc., et al Supreme Court Appeal
When Are "Notes" Securities Under The N.H. Uniform Securities Act
Local Government Center, Inc., et al Admin Hearing
Investigation of Financial Resources Mortgage, Inc.
Corrected Notice of Hearing in the Matter of Local Government Center, Inc., et al(9/06/2011)
Recommendations On Appropriate Reserves For Pooled Risk Programs
Staff Petition in the matter of: Local Government Center, Inc., et al (9/02/2011)
Report on the Local Government Center, Inc. (8/02/2011)
"Putting Investors First"
State Securities Regulators have been the front line of defense for Main St. investors for nearly 100 years. Many investors understandably feel that their local state securities regulator is the logical place to start with a grievance when they believe a broker or investment advisor has treated them unfairly. We are often first to identify investment scams and bring enforcement actions to halt or remedy a wide variety of investment related violations, and may be able to obtain restitution for New Hampshire residents as part of enforcement actions. States are often an early warning system to alert the public, other regulators and policy makers to problems and may work with national regulators such as the SEC when necessary.
Investor Education: The Tool to ProtectInvestors from Fraud
An informed investor is the best defense against fraud. An investor who asks the right questions and checks with his or her securities regulator to determine if an investment and its salesperson are properly registered is less likely to be a victim of fraud. Investor education and financial literacy give investors the tools to protect themselves. We offer to the public, videos and publications to help investors understand how to evaluate investments If you have a question about a particular security or feel you may have been the victim of a scam or an unscrupulous broker or financial adviser, please call our Bureau hotline, TOLL FREE at 1-800-994-4200.
