NH Bureau of Securities Regulation – Concord, NH

About the Bureau of Securities Regulation

The NH Bureau of Securities Regulation, a division of the Secretary of State’s office, is tasked with protecting New Hampshire investors and ensuring fair financial markets. Located in the State House Annex on Capitol Street, the Bureau enforces state securities laws (the Uniform Securities Act). Its mission is two-fold: to safeguard the public from investment fraud and unscrupulous practices, and to facilitate responsible capital formation for businesses within the state.

Regulatory Functions

The Bureau is the primary regulator for the securities industry in New Hampshire. It oversees the registration and licensing of broker-dealers, investment advisers, and their agents. The Bureau also reviews securities offerings to ensure compliance with state standards. A critical component of their work is the Enforcement Division, which investigates complaints, conducts audits, and takes administrative or legal action against those who violate securities laws. Through its ”Invest Smart NH” program, the Bureau also provides educational resources to help citizens make informed financial decisions.

• Licensing: Registration of financial professionals and firms.
• Enforcement: Investigation of investment scams and fraud.
• Education: Providing tools for investor protection and literacy.

Office Information

The Bureau operates out of the State House Annex in downtown Concord. Access to the building is controlled, and visitors may be subject to security screening. The office is open to the public for filing complaints or making inquiries about the status of an investment professional. However, many services, including the verification of a broker’s license, can be accessed remotely via their website or by phone. The Bureau emphasizes that an informed investor is the best defense against fraud.