New Hampshire § 421-B-4-407 - Section 421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser.
Full text of New Hampshire New Hampshire Revised Statutes Annotated § 421-B-4-407 — Section 421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser., with citation guidance and answers to common questions.
§ 421-B-4-407. Section 421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser.
(a) Succession. A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser, by filing as a successor an application for registration pursuant to RSA 421-B:4-401 or RSA 421-B:4-403 or a notice pursuant to RSA 421-B:4-405 for the unexpired portion of the current registration or notice filing. (b) Organizational change. A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within 45 days after filing its amendment to effect succession. (c) Name change. A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration and paying the fees set forth in RSA 421-B:6-614. The amendment becomes effective when filed or on a date designated by the registrant. (d) Change of control. A change of control of a broker-dealer or investment adviser may be made in accordance with an order issued under this chapter.
Source: official New Hampshire text · Last verified 2026-08-27
Frequently Asked Questions About New Hampshire § 421-B-4-407
What does New Hampshire Revised Statutes Annotated § 421-B-4-407 cover?
Section 421-B-4-407 ("Section 421-B:4-407 Succession and Change in Registration of Broker-Dealer or Investment Adviser.") is part of the New Hampshire Revised Statutes Annotated, the codified statutory law of New Hampshire. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite New Hampshire § 421-B-4-407?
A common citation format is "New Hampshire Revised Statutes Annotated § 421-B-4-407" (New Hampshire). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of New Hampshire law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the New Hampshire official source linked on this page or consult a licensed New Hampshire attorney.
How does New Hampshire § 421-B-4-407 apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in New Hampshire can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in New Hampshire.