New Hampshire NASAA Model Rule Adoption
New Hampshire has adopted 7 of 9 tracked NASAA model rules.
Marketing Rule
Standards for advertising, testimonials, endorsements, and performance presentation. NASAA model proposed July 2025; TX adopted by reference to SEC rules.
Custody Rule
Requirements for safeguarding client funds and securities, including qualified custodian requirements.
Books & Records
Record creation, maintenance, and retention requirements for investment advisory firms.
Ethics Rule
Code of ethics, personal trading, and conflict of interest requirements for advisory personnel.
Registration Rule
Investment adviser and IAR registration, qualification, and reporting standards.
IAR Continuing Education
12 credits per year: 6 Products & Practice + 6 Ethics. Tracked through IARD system.
Policies & Procedures
Written compliance policies and procedures tailored to the firm's advisory activities.
Information Security
Written information security policies, risk assessments, incident response plans, and vendor due diligence.
Brochure Rule
Firm brochure (Part 2A) and brochure supplement (Part 2B) delivery and update requirements.
Adoption data sourced from NASAA model rule matrix, NV 2024 Legislative Survey, state regulator websites, and IARD fee schedules (March 2026). "Varies / Unverified" means the state may have equivalent requirements but adoption of the specific NASAA model rule text has not been confirmed in our current sources.
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Compliance Approved automatically tracks state-specific requirements.