Welcome to the
Bureau of Securities Regulation
N.H.
Securities Regulators File Action Targeting
UBS Sales
Practices
Director Connolly Sends Letter To CEO Of UBS Calling For
Proactive/Constructive Approach
"Putting Investors First"
State Securities Regulators have
been the front line of defense for Main St. investors
for nearly 100 years. Many investors
understandably feel that their local state securities
regulator is the logical place to start with a grievance
when they believe a broker or investment advisor has
treated them unfairly. We are often first to
identify investment scams and bring enforcement actions
to halt or remedy a wide variety of investment related
violations, and may be able to obtain restitution for
New Hampshire residents as part of enforcement
actions. States are often an early warning system
to alert the public, other regulators and policy makers
to problems and may work with national regulators such
as the SEC when necessary.
Investor Education:
The Tool to Protect Investors from Fraud
An informed
investor is the best defense against fraud. An
investor who asks the right questions and checks with
his or her securities regulator to determine if an
investment and its salesperson are properly registered
is less likely to be a victim of fraud. Investor
education and financial literacy give investors the
tools to protect themselves. We offer to the
public, videos and publications to help investors
understand how to evaluate investments If you have
a question about a particular security or feel you may
have been the victim of a scam or an unscrupulous broker
or financial adviser, please call our Bureau hotline,
TOLL FREE at 1-800-994-4200.
ATTENTION:
New Hampshire
Deferred Compensation Plan Participants
3/27/2007 -
Update to N.H. Deferred
Compensation Plan Participants
5/18/2007 -
Attention New
Hampshire Deferred Compensation Plan Participants: The
Bureau plans to finalize the Plan of Distribution by the
end of May 2007. The Bureau also expects to authorize ING to commence the distribution in June 2007.
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