State IA Financial Information Filing Requirement

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    No fee is required. 

    State IA's that have their principal place of business in a state other than New Hampshire must be in compliance with their home state financial requirement. 

    State IA's with their principal place of business in New Hamphire must submit: 

    1. Within 90 days from the investment adviser's fiscal year end, the investment adviser must submit, directly to the Bureau, an audited balance sheet if the investment adviser is required by Form ADV to have one prepared (if it has custody of client funds or securities or if it collects fees of $500 per client 6 or more months in advance - RSA 421-B:4-411(b)(14).
    2. If a surprise examination of clients' funds and securites is required because the investment adviser has custody of client funds and/or securities, a copy of the report of examination must be promptly filed with the Bureau - RSA 421-B:5-502-A.