There is a newer version of the New Mexico Statutes
2006 New Mexico Statutes - Article 13B — Securities Act of 1986, 58-13B-1 through 58-13B-57.
Part 1. GENERAL PROVISIONS
Part 2. LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- 58-13B-3 — Broker-dealer and sales representative licensing.
- 58-13B-4 — Exempt broker-dealers and sales representatives.
- 58-13B-5 — Investment adviser and investment adviser representative licensing.
- 58-13B-6 — Exempt investment advisers and investment adviser representatives.
- 58-13B-7 — Proof of exemption.
- 58-13B-8 — Application.
- 58-13B-9 — Fees.
- 58-13B-10 — Examinations.
- 58-13B-11 — Licensing.
- 58-13B-12 — Annual report and fee.
- 58-13B-13 — Post-licensing requirements.
- 58-13B-14 — Licensing of successor firms.
- 58-13B-15 — Inspection power.
- 58-13B-16 — Grounds for denial, revocation and suspension.
- 58-13B-17 — Denial, suspension or revocation on grounds of lack of qualification.
- 58-13B-18 — Withdrawal.
- 58-13B-19 — Custody of clients' securities and funds.
Part 3. REGISTRATION OF SECURITIES
- 58-13B-20 — Registration requirement.
- 58-13B-21 — Registration by filing.
- 58-13B-22 — Registration by coordination.
- 58-13B-23 — Registration by qualification.
- 58-13B-24 — Provisions applicable to registration generally.
- 58-13B-25 — Denial, suspension and revocation of registration.
Part 4. EXEMPTIONS FROM REGISTRATION
- 58-13B-26 — Exempt securities.
- 58-13B-27 — Exempt transactions.
- 58-13B-28 — Provisions applicable to exemptions generally.
- 58-13B-29 — Filing of sales and advertising literature.
Part 5. FRAUDULENT AND OTHER PROHIBITED PRACTICES
- 58-13B-30 — Offers, sales and purchases.
- 58-13B-31 — Market manipulation.
- 58-13B-32 — Inside information.
- 58-13B-33 — Prohibited transactions by investment advisers and investment adviser representatives.
- 58-13B-34 — Misleading filings.
- 58-13B-35 — Unlawful representations concerning licensing, registration or exemption.
Part 6. ENFORCEMENT AND CIVIL LIABILITY
- 58-13B-36 — Investigations; subpoena power.
- 58-13B-37 — Enforcement.
- 58-13B-38 — Power of court to grant relief.
- 58-13B-39 — Criminal penalties.
- 58-13B-40 — Civil liability.
- 58-13B-41 — Civil statute of limitations.
- 58-13B-42 — Rescission and settlement offers.
- 58-13B-43 — General liability provisions.
Part 7. ADMINISTRATION
- 58-13B-44 — Administration of act.
- 58-13B-45 — Prohibitions on use of information.
- 58-13B-46 — Public information; confidentiality.
- 58-13B-47 — Cooperation with other agencies.
- 58-13B-48 — Rules, forms and orders.
- 58-13B-49 — Good faith reliance.
- 58-13B-50 — Consent to service of process.
- 58-13B-51 — Interpretative opinions.
- 58-13B-52 — Administrative files and records.
- 58-13B-53 — Administrative proceeding.
Part 8. MISCELLANEOUS PROVISIONS
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