The COVID Project
The record
- Jurisdiction
- New Hampshire; Bureau of Securities Regulation, Department of State (State securities regulator) · New Hampshire
- Level
- Sector regulator
- Authority
- RSA 421-B:6-605
- Issued
- 2020-04-09 Apr. 9, 2020
- Effective
- 2020-04-09
- End
- Temporary; until further order (read as 2020-09-30)
- In force
- Apr. 9, 2020 to Sept. 30, 2020
- Quarters
- 2020 Q22020 Q3
2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3
- Limitation types
- Telework mandateOther
- Addressees
- broker-dealers, state registered investment advisers, federal covered investment advisers and their registered agents or representatives
- Functions reached
- WM broker-dealers and advisers
- OP
- HR
- Collection
- State insurance and banking regulators AGY-ST-INSURANCE-BANKING
Operative words
Given the disruptions caused by the COVID-19 outbreak and dislocations affecting broker-dealers, state registered investment advisers, federal covered investment advisers, and their registered agents or representatives (collectively, 'financial professionals'), the N.H. Secretary of State, Bureau of Securities Regulation (hereinafter 'Secretary of State') is adopting this Emergency Order to temporarily grant the relief below. I. Registration or Filing Relief: The Secretary of State understands that certain financial professionals who are not registered or notice filed with the Secretary of State have been displaced from their ordinary business locations, and are currently engaging, or may desire to engage, in activities that would require them to register or file with the Secretary of State... [Qualifying professionals may] Open and maintain a temporary branch office or office of supervisory jurisdiction in N[ew Hampshire].
Enforcement
RSA 421-B:6-604 (enforcement)