421-B:1-101 Short Title
421-B:1-102 Definitions
421-B:1-103 References to Federal Statutes
421-B:1-104 References to Federal Agencies
421-B:1-105 Electronic Records and Signatures
421-B:2-201 Exempt Securities
421-B:2-202 Exempt Transactions
421-B:2-202-A Implementing Provisions
421-B:2-203 Additional Exemptions and Waivers
421-B:2-204 Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions
421-B:3-301 Securities Registration Requirement
421-B:3-302 Notice Filing
421-B:3-303 Securities Registration by Coordination
421-B:3-304 Securities Registration by Qualification
421-B:3-305 Securities Registration Filings
421-B:3-306 Denial, Suspension, and Revocation of Securities Registration
421-B:3-307 Waiver and Modification
421-B:4-401 Broker-Dealer Registration Requirements and Exemptions
421-B:4-402 Agent Registration Requirements and Exemptions
421-B:4-403 Investment Adviser Registration Requirements and Exemptions
421-B:4-404 Investment Adviser Representative Registration Requirement and Exemptions
421-B:4-405 Federal Covered Investment Adviser Notice Filing Requirement
421-B:4-406 Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser
421-B:4-408 Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association
421-B:4-409 Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
421-B:4-410 Filing Fees
421-B:4-411 Postregistration Requirements
421-B:4-412 Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration
421-B:5-501 Fraud and Liabilities
421-B:5-502 Prohibited Conduct in Providing Investment Advice
421-B:5-502-A Custody of Client Funds or Securities by Investment Advisers
421-B:5-503 Evidentiary Burden
421-B:5-504 Filing of Sales and Advertising Literature
421-B:5-505 Misleading Filings
421-B:5-506 Misrepresentations Concerning Registration or Exemption
421-B:5-507 Qualified Immunity
421-B:5-507-A Financial Exploitation of Vulnerable Adults
421-B:5-508 Criminal Penalties
421-B:5-509 Civil Liability
421-B:5-510 Rescission Offers
421-B:5-511 Liability of Issuers, Sellers, and Others Who Facilitate Exchange of Open Blockchain Tokens
421-B:6-601 Administration of Chapter
421-B:6-602 Investigations and Subpoenas
421-B:6-603 Civil Enforcement
421-B:6-604 Administrative Enforcement
421-B:6-605 Orders, Interpretative Opinions, and Hearings
421-B:6-606 Administrative Files and Opinions
421-B:6-607 Public Records; Confidentiality
421-B:6-608 Uniformity and Cooperation with Other Agencies
421-B:6-609 Judicial Review
421-B:6-610 Jurisdiction
421-B:6-611 Service of Process
421-B:6-612 Severability Clause
421-B:6-613 Hearing Procedures
421-B:6-614 Fees
421-B:7-701 Application of Act to Existing Proceeding and Existing Rights and Duties

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Terms Used In New Hampshire Revised Statutes > Chapter 421-B - Uniform Securities Act

  • Advertisement: means any notice, circular, letter, or other written communication that is given to more than one person or any other announcement in any publication, by radio, television, or other electronic media, that offers:
    (A) Any analysis, report, or publication concerning securities or which is to be used in making any determination as when to buy or sell securities; or
    (B) Any graph, chart, formula, or other device to be used in making any determination concerning when to buy or sell any security, or which security to buy or sell. See New Hampshire Revised Statutes 421-B:1-102
  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Affiliate: means any person directly or indirectly controlling, controlled by, or under common control with another person. See New Hampshire Revised Statutes 421-B:1-102
  • Agent: means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer's securities. See New Hampshire Revised Statutes 421-B:1-102
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • Appeal: A request made after a trial, asking another court (usually the court of appeals) to decide whether the trial was conducted properly. To make such a request is "to appeal" or "to take an appeal." One who appeals is called the appellant.
  • Appraisal: A determination of property value.
  • Appropriation: The provision of funds, through an annual appropriations act or a permanent law, for federal agencies to make payments out of the Treasury for specified purposes. The formal federal spending process consists of two sequential steps: authorization
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Bank: means any of the following:
    (A) a banking institution organized under the laws of the United States;
    (B) a member bank of the Federal Reserve System;
    (C) a bank organized under the laws of the state of New Hampshire;
    (D) a trust company;
    (E) any other banking institution, whether incorporated or not, doing business under the laws of a State or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to be exercised by national banks under the authority of the Comptroller of the Currency pursuant to section 1 of Public Law 87-722 12 U. See New Hampshire Revised Statutes 421-B:1-102
  • Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Benefits: shall mean any bargained-for benefit to the investor or to a person designated by the investor; or any bargained-for legal detriment to the common enterprise, the promoter, or some entity identified by the investor. See New Hampshire Revised Statutes 421-B:1-102
  • Branch office: means :
    (i) With regard to an investment adviser, any location other than the main office, identified by any means to broker-dealers, other investment advisers, the public, customers, or clients as a location at which an investment adviser conducts an investment advisory business. See New Hampshire Revised Statutes 421-B:1-102
  • Broker-dealer: means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. See New Hampshire Revised Statutes 421-B:1-102
  • Common enterprise: means an enterprise in which the fortunes of the investor are interwoven with those of either the person offering the investment, a third party, or one or more investors. See New Hampshire Revised Statutes 421-B:1-102
  • Common law: The legal system that originated in England and is now in use in the United States. It is based on judicial decisions rather than legislative action.
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Complaint: means a written statement submitted after an incident complained of by the secretary of state or any other person that sets forth specific allegations of wrongdoing and requests administrative action by the secretary of state. See New Hampshire Revised Statutes 421-B:1-102
  • Continuance: Putting off of a hearing ot trial until a later time.
  • Contract: A legal written agreement that becomes binding when signed.
  • Conviction: A judgement of guilt against a criminal defendant.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • CRD: means the Central Registration Depository maintained by FINRA. See New Hampshire Revised Statutes 421-B:1-102
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Department: means the department of state. See New Hampshire Revised Statutes 421-B:1-102
  • Dependent: A person dependent for support upon another.
  • Depository institution: means :
    (A) a bank; or
    (B) a savings institution, trust company, credit union or similar institution, whether incorporated or not, doing business under the laws of a state or of the United States, a substantial portion of the business of which consists of receiving deposits or share accounts insured to the maximum amount authorized by statute by the Federal Deposit Insurance Corporation, National Credit Union Share Insurance Fund or a successor authorized by federal law and which is supervised and examined by a state or federal agency having supervision over such institutions, and which is not operated for the purpose of evading this chapter. See New Hampshire Revised Statutes 421-B:1-102
  • Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
  • Dismissal: The dropping of a case by the judge without further consideration or hearing. Source:
  • Embezzlement: In most states, embezzlement is defined as theft/larceny of assets (money or property) by a person in a position of trust or responsibility over those assets. Embezzlement typically occurs in the employment and corporate settings. Source: OCC
  • Equitable: Pertaining to civil suits in "equity" rather than in "law." In English legal history, the courts of "law" could order the payment of damages and could afford no other remedy. See damages. A separate court of "equity" could order someone to do something or to cease to do something. See, e.g., injunction. In American jurisprudence, the federal courts have both legal and equitable power, but the distinction is still an important one. For example, a trial by jury is normally available in "law" cases but not in "equity" cases. Source: U.S. Courts
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Executor: A male person named in a will to carry out the decedent
  • Federal covered investment adviser: means a person registered with the United States Securities and Exchange Commission under the Investment Advisers Act of 1940. See New Hampshire Revised Statutes 421-B:1-102
  • Federal covered security: means a security that is, or upon completion of a transaction will be, a covered security under section 18(b) of the Securities Act of 1933 15 U. See New Hampshire Revised Statutes 421-B:1-102
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • Fiduciary: A trustee, executor, or administrator.
  • Filing: means the receipt under this chapter of a record by the secretary of state. See New Hampshire Revised Statutes 421-B:1-102
  • FINRA: means the Financial Industry Regulatory Authority. See New Hampshire Revised Statutes 421-B:1-102
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • following: when used by way of reference to any section of these laws, shall mean the section next preceding or following that in which such reference is made, unless some other is expressly designated. See New Hampshire Revised Statutes 21:13
  • Forgery: The fraudulent signing or alteration of another's name to an instrument such as a deed, mortgage, or check. The intent of the forgery is to deceive or defraud. Source: OCC
  • Fraud: Intentional deception resulting in injury to another.
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Guaranteed: means guaranteed as to payment of all principal and all interest. See New Hampshire Revised Statutes 421-B:1-102
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Hearing: means the receipt and consideration by the department of evidence or argument, or both, in accordance with this chapter and other applicable law, and includes:
    (A) Conducting trial-type evidentiary hearings;
    (B) Directing the filing of exhibits, affidavits, memoranda or briefs;
    (C) Directing the delivery of oral argument; or
    (D) Any combination of these or similar methods. See New Hampshire Revised Statutes 421-B:1-102
  • IARD: means the Investment Adviser Registration Depository maintained by FINRA. See New Hampshire Revised Statutes 421-B:1-102
  • including: shall be construed as introducing a non-exhaustive list. See New Hampshire Revised Statutes 421-B:1-102
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Institutional investor: means any of the following, whether acting for itself or for others in a fiduciary capacity:
    (A) a depository institution, trust company, or international banking institution;
    (B) an insurance company;
    (C) a separate account of an insurance company;
    (D) an investment company as defined in the Investment Company Act of 1940;
    (E) a broker-dealer registered under the Securities Exchange Act of 1934;
    (F) an employee pension, profit-sharing, or benefit plan if the plan has total assets in excess of $10,000,000 or its investment decisions are made by a named fiduciary, as defined in the Employee Retirement Income Security Act of 1974, that is a broker-dealer registered under the Securities Exchange Act of 1934, an investment adviser registered or exempt from registration under the Investment Advisers Act of 1940, an investment adviser registered under this chapter, a depository institution, a trust company, or an insurance company;
    (G) a plan established and maintained by a state, a political subdivision of a state, or an agency or instrumentality of a state or a political subdivision of a state for the benefit of its employees, if the plan has total assets in excess of $10,000,000 or its investment decisions are made by a duly designated public official or by a named fiduciary, as defined in the Employee Retirement Income Security Act of 1974, that is a broker-dealer registered under the Securities Exchange Act of 1934, an investment adviser registered or exempt from registration under the Investment Advisers Act of 1940, an investment adviser registered under this chapter, a depository institution, a trust company, or an insurance company;
    (H) a trust, if it has total assets in excess of $10,000,000, its trustee is a depository institution or trust company, and its participants are exclusively plans of the types identified in subsection (22)(F) or (22)(G), regardless of the size of their assets, except a trust that includes as participants self-directed individual retirement accounts or similar self-directed plans;
    (I) an organization described in 26 U. See New Hampshire Revised Statutes 421-B:1-102
  • Insurance company: means a company organized as an insurance company whose primary business is writing insurance or reinsuring risks underwritten by insurance companies and which is subject to supervision by the insurance commissioner or a similar official or agency of a state. See New Hampshire Revised Statutes 421-B:1-102
  • Insured: means insured as to payment of all principal and all interest. See New Hampshire Revised Statutes 421-B:1-102
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • International banking institution: means an international financial institution of which the United States is a member and whose securities are exempt from registration under the Securities Act of 1933. See New Hampshire Revised Statutes 421-B:1-102
  • Investment adviser: means a person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. See New Hampshire Revised Statutes 421-B:1-102
  • Investment adviser representative: means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. See New Hampshire Revised Statutes 421-B:1-102
  • Investment advisory contract: means any contract or agreement whereby a person agrees to act as an investment adviser or to manage any investment or trading account for a person other than an investment adviser as defined in subsection (26). See New Hampshire Revised Statutes 421-B:1-102
  • Investment contract: means either:
    (i) An investment in a common enterprise with the expectation of profits to be derived primarily from the efforts of the promoter or some third party; or
    (ii) an investment by which an offeree furnishes initial value to an offeror, and a portion of this value is subject to the risks of the enterprise, and the furnishing of the initial value is induced by the offeror's promises or representations which give rise to a reasonable understanding that a material valuable benefit of some kind over and above the initial value will accrue to the offeree as a result of the operation of the enterprise, and the offeree does not receive the right to exercise practical and actual control over the management of the enterprise. See New Hampshire Revised Statutes 421-B:1-102
  • Investment gem: means any gem that the secretary of state may specify by an order showing that the gem is being purchased and sold by the public as an investment. See New Hampshire Revised Statutes 421-B:1-102
  • Investment metal: means any object that contains:
    (A) Gold, silver, or platinum, or
    (B) Any other metal that the secretary of state may specify by an order showing that the other metal is being purchased and sold by the public as an investment. See New Hampshire Revised Statutes 421-B:1-102
  • Issuer: means a person that issues or proposes to issue a security, subject to the following:
    (A) The issuer of a voting trust certificate, collateral trust certificate, certificate of deposit for a security, or share in an investment company without a board of directors or individuals performing similar functions is the person performing the acts and assuming the duties of depositor or manager pursuant to the trust or other agreement or instrument under which the security is issued. See New Hampshire Revised Statutes 421-B:1-102
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • justice: when applied to a magistrate, shall mean a justice of a municipal court, or a justice of the peace having jurisdiction over the subject-matter. See New Hampshire Revised Statutes 21:12
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • leverage contract: includes any contract for the purchase or sale of any investment metal or investment gem, whereby the seller, or an agent, affiliate or representative of the seller, directly or indirectly arranges, or offers to arrange, for the financing of any portion of the total amount of the purchase or sale of the investment metal or investment gem. See New Hampshire Revised Statutes 421-B:1-102
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Lien: A claim against real or personal property in satisfaction of a debt.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • month: shall mean a calendar month, and the word "year" a calendar year, unless otherwise expressed; and the word "year" shall be equivalent to the expression "year of our Lord. See New Hampshire Revised Statutes 21:8
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • National Bank: A bank that is subject to the supervision of the Comptroller of the Currency. The Office of the Comptroller of the Currency is a bureau of the U.S. Treasury Department. A national bank can be recognized because it must have "national" or "national association" in its name. Source: OCC
  • nonissuer distribution: means a transaction or distribution not directly or indirectly for the benefit of the issuer. See New Hampshire Revised Statutes 421-B:1-102
  • Oath: A promise to tell the truth.
  • oath: shall include "affirmation" in all cases where by law an affirmation may be substituted for an oath; and, in like cases, the word "sworn" shall include the word "affirmed. See New Hampshire Revised Statutes 21:24
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Offer to purchase: includes an attempt or offer to obtain, or solicitation of an offer to sell, a security or interest in a security for value. See New Hampshire Revised Statutes 421-B:1-102
  • Open blockchain token: means a digital unit which is:
    (A) Created:
    (i) In response to the verification or collection of a specified number of transactions relating to a digital ledger or database;
    (ii) By deploying computer code to a blockchain network that allows for the creation of digital tokens or other units; or
    (iii) Using any combination of the methods specified in subparagraphs (i) and (ii) of this paragraph;
    (B) Recorded in a digital ledger or database which is chronological, consensus-based, decentralized and mathematically verified in nature, especially relating to the supply of units and their distribution; and
    (C) Capable of being traded or transferred between persons without an intermediary or custodian of value. See New Hampshire Revised Statutes 421-B:1-102
  • Open end mutual fund: means an open end management company as defined in the Investment Company Act of 1940. See New Hampshire Revised Statutes 421-B:1-102
  • Oral argument: An opportunity for lawyers to summarize their position before the court and also to answer the judges' questions.
  • Order: means an order issued pursuant to this chapter. See New Hampshire Revised Statutes 421-B:1-102
  • Oversight: Committee review of the activities of a Federal agency or program.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Person: means an individual; corporation; business trust; estate; trust; partnership; limited liability company; association; joint venture; government; governmental subdivision, agency, or instrumentality; public corporation; or any other legal or commercial entity. See New Hampshire Revised Statutes 421-B:1-102
  • Personal property: All property that is not real property.
  • Petition: means a written request for action by the secretary of state including a staff petition for relief and any petition for rehearing pursuant to RSA 541. See New Hampshire Revised Statutes 421-B:1-102
  • petitioner: shall mean plaintiff. See New Hampshire Revised Statutes 21:51
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • Pleadings: Written statements of the parties in a civil case of their positions. In the federal courts, the principal pleadings are the complaint and the answer.
  • Power of attorney: A written instrument which authorizes one person to act as another's agent or attorney. The power of attorney may be for a definite, specific act, or it may be general in nature. The terms of the written power of attorney may specify when it will expire. If not, the power of attorney usually expires when the person granting it dies. Source: OCC
  • Predecessor act: means this chapter as in effect prior to January 1, 2016. See New Hampshire Revised Statutes 421-B:1-102
  • Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
  • Presiding officer: means a person to whom the secretary of state has delegated the authority to preside over some or all of an administrative hearing. See New Hampshire Revised Statutes 421-B:1-102
  • Price amendment: means the amendment to a registration statement filed under the Securities Act of 1933 or, if an amendment is not filed, the prospectus or prospectus supplement filed under the Securities Act of 1933 that includes a statement of the offering price, underwriting and selling discounts or commissions, amount of proceeds, conversion rates, call prices, and other matters dependent upon the offering price. See New Hampshire Revised Statutes 421-B:1-102
  • Pro se: A Latin term meaning "on one's own behalf"; in courts, it refers to persons who present their own cases without lawyers.
  • Profits: shall include the promise to pay money, deliver securities, or deliver in-kind goods;
    (iii) The third party providing the efforts may or may not be an affiliate or associated with the promoter or the common enterprise. See New Hampshire Revised Statutes 421-B:1-102
  • Public law: A public bill or joint resolution that has passed both chambers and been enacted into law. Public laws have general applicability nationwide.
  • public record: means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. See New Hampshire Revised Statutes 421-B:1-102
  • Purchasing for investment: means a purchase made for investment and not for the purpose of resale. See New Hampshire Revised Statutes 421-B:1-102
  • real estate: shall include lands, tenements, and hereditaments, and all rights thereto and interests therein. See New Hampshire Revised Statutes 21:21
  • Remainder: An interest in property that takes effect in the future at a specified time or after the occurrence of some event, such as the death of a life tenant.
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Revocation: means the recall and cancellation of a license, registration or privilege for either a definite or indefinite period of time. See New Hampshire Revised Statutes 421-B:1-102
  • Sale: includes every contract of sale, contract to sell, or disposition of, a security or interest in a security for value, and "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to purchase, a security or interest in a security for value. See New Hampshire Revised Statutes 421-B:1-102
  • Sanction: means any penalty imposed or authorized for imposition by the secretary of state, pursuant to this chapter, including license suspension or revocation, order to cease and desist or monetary penalties. See New Hampshire Revised Statutes 421-B:1-102
  • SEC: means the United States Securities and Exchange Commission. See New Hampshire Revised Statutes 421-B:1-102
  • Secretary of state: means the New Hampshire secretary of state or his or her designee. See New Hampshire Revised Statutes 421-B:1-102
  • Security: means a note; stock; treasury stock; security future; bond; debenture; evidence of indebtedness; certificate of interest or participation in a profit-sharing agreement; membership interest in a limited liability company; partnership interest in a limited partnership; partnership interest in a registered limited liability partnership; collateral trust certificate; preorganization certificate or subscription; transferable share; investment contract; investment metal contract or investment gem contract; voting trust certificate; certificate of deposit for a security; fractional undivided interest in oil, gas, or other mineral rights; put, call, straddle, option, or privilege on a security, certificate of deposit, or group or index of securities, including an interest therein or based on the value thereof; put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency; or, in general, an interest or instrument commonly known as a "security"; or a certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. See New Hampshire Revised Statutes 421-B:1-102
  • Self-regulatory organization: means a national securities exchange registered under the Securities Exchange Act of 1934, a national securities association of broker-dealers registered under the Securities Exchange Act of 1934, a clearing agency registered under the Securities Exchange Act of 1934, or the Municipal Securities Rulemaking Board established under the Securities Exchange Act of 1934. See New Hampshire Revised Statutes 421-B:1-102
  • Sequester: To separate. Sometimes juries are sequestered from outside influences during their deliberations.
  • Service of process: The service of writs or summonses to the appropriate party.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • Sign: means , with present intent to authenticate or adopt a record:
    (A) to execute or adopt a tangible symbol; or
    (B) to attach or logically associate with the record an electronic symbol, sound, or process. See New Hampshire Revised Statutes 421-B:1-102
  • Solicitor: means an investment adviser, or investment adviser representative that:
    (A) Is licensed under this chapter;
    (B) Conducts an investment advisory business solely for the purpose of soliciting, directly or indirectly, any client for, or referring any client to, an investment adviser licensed under this chapter;
    (C) Receives a cash fee for such solicitation or referral; and
    (D) Operates pursuant to a written agreement with the investment adviser that:
    (i) Describes the solicitation activities to be engaged in on behalf of the investment adviser and the compensation to be received therefor;
    (ii) Contains an undertaking to perform the duties under the agreement in a manner consistent with the instructions of the investment adviser and the provisions of this chapter; and
    (iii) Requires that at the time of any solicitation activities for which compensation is paid or to be paid by the investment adviser, that the client be provided with a current copy of the investment adviser's written disclosure statement that describes the solicitation arrangement. See New Hampshire Revised Statutes 421-B:1-102
  • Staff: means the employees of the department including classified employees, contract employees, and includes students involved in paid or unpaid programs. See New Hampshire Revised Statutes 421-B:1-102
  • State: means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States. See New Hampshire Revised Statutes 421-B:1-102
  • Statute: A law passed by a legislature.
  • Statute of limitations: A law that sets the time within which parties must take action to enforce their rights.
  • Subpoena: A command to a witness to appear and give testimony.
  • Suspension: means the temporary recall or denial of any license, registration or privilege granted for a specified period of time. See New Hampshire Revised Statutes 421-B:1-102
  • sworn: when applied to public officers required by the constitution to take oaths therein prescribed, shall refer to those oaths; when applied to other officers it shall mean sworn to the faithful discharge of the duties of their offices before a justice of the peace, or other person authorized to administer official oaths in such cases. See New Hampshire Revised Statutes 21:25
  • Testify: Answer questions in court.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Transcript: A written, word-for-word record of what was said, either in a proceeding such as a trial or during some other conversation, as in a transcript of a hearing or oral deposition.
  • Trial: A hearing that takes place when the defendant pleads "not guilty" and witnesses are required to come to court to give evidence.
  • Trust company: means a trust company or family trust company that is organized under the laws of this state or any other jurisdiction and is authorized to engage in trust business in this state. See New Hampshire Revised Statutes 421-B:1-102
  • Trustee: A person or institution holding and administering property in trust.
  • UETA: means New Hampshire's Uniform Electronic Transactions Act N. See New Hampshire Revised Statutes 421-B:1-102
  • under oath: when used in connection with a document to be filed with the court or a state agency, which does not require a notary acknowledgment or notarization under New Hampshire law, shall be satisfied by electronic signature "under the penalty of perjury" if the document is filed with the court or state agency electronically, and if the document is accompanied by a statement under the electronic signature stating "the penalty for perjury may include a fine or imprisonment or both. See New Hampshire Revised Statutes 21:52
  • United States: shall include said district and territories. See New Hampshire Revised Statutes 21:4
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.