New Hampshire
Secretary of State

Registration of Securities

Private Placements

Exemptions under the Securities Act of 1933 §4(2)

Rule 506. For an offering under Regulation D, Rule 506, a notice filing with the Bureau must be made under New Hampshire RSA 421-B:3-302(c). The fee is $500. See a checklist at Notice Filings.

Other Offerings. For any other offerings under 3(b) or 4(2), including Regulation D, Rule 504, a registration filing may be necessary under RSA 421-B:3-304 (see Public Offerings). For fees, please refer to RSA 421-B:6-614.

For a complete guide to Regulation D Offerings, please refer to 17 CFR 230.501 through 17 CFR 230.508, by accessing the federal government’s online database at: https://www.govinfo.gov/, or contacting the US Government Printing Office.

Questions regarding qualifications and requirements for Regulation D Offerings should be directed to the Securities and Exchange Commission (SEC) Office of Small Business.

Questions regarding New Hampshire filing requirements should be directed to the Bureau of Securities Regulation at (603) 271-1463.

GO BACK

Registration of Securities

Notice Filings

Open-End Mutual Funds


RSA 421-B:3-302(a)

Closed-End Funds (UIT's, etc.)


RSA 421-B:3-302(a)

Regulation D. Rule 506


RSA 421-B:3-303(c) {Section 18(b)(4)(F) of the Securities Act of 1933]

Secondary Trading


RSA 421-B:3-302(a) [Section 18(b)(4)(A) of the Securities Act of 1933]

Regulation A+, Tier 2 Offerings


RSA 421-B:3-302(a) [Section 18(b)(3) of the Securities Act of 1933]
GO BACK

Registration of Securities

Public Offering

Public Offerings under New Hampshire RSA 421-B

Other Public Offerings. May require only a notice filing with the Bureau (see Notice Filings).

Questions regarding Public Offerings under RSA 421-B should be directed to the Bureau of Securities Regulation at (603) 271-1463.

Registration by Coordination


Registration by Qualification


Coordinated Equity Review (CER)


New England Regional Review


GO BACK

Registration of Securities

Other Exemptions

New Hampshire exemption from registration filing requirements: RSA 421-B:2-203

Nonprofit Organization Securities


GO BACK