Securities Regulation

Welcome to the 

Bureau of Securities Regulation

Frequently Asked Questions Regarding Regulation D Offerings 

Broker-Dealer Investment Adviser Firm, Agent and Investment Adviser Representative and Branch Renewals for 2014 Payment Deadline:  December 13, 2013 

"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 Protect
Investors 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.