There is a newer version
of
this Article
2018 New Mexico Statutes
Chapter 58 - Financial Institutions and Regulations
Article 13C - New Mexico Uniform Securities
- Section 58-13C-101 - Short title.
- Section 58-13C-102 - Definitions.
- Section 58-13C-103 - References to federal statutes.
- Section 58-13C-104 - References to federal agencies.
- Section 58-13C-105 - Electronic records and signatures.
- Section 58-13C-201 - Exempt securities.
- Section 58-13C-202 - Exempt transactions.
- Section 58-13C-203 - Additional exemptions and waivers.
- Section 58-13C-204 - Denial, suspension, revocation, condition or limitation of exemptions.
- Section 58-13C-301 - Securities registration requirement.
- Section 58-13C-302 - Notice filing.
- Section 58-13C-303 - Securities registration by coordination.
- Section 58-13C-304 - Securities registration by qualification.
- Section 58-13C-305 - Securities registration filings.
- Section 58-13C-306 - Denial, suspension and revocation of securities registration.
- Section 58-13C-307 - Waiver and modification.
- Section 58-13C-401 - Broker-dealer registration requirement and exemptions.
- Section 58-13C-402 - Agent registration requirement and exemptions.
- Section 58-13C-403 - Investment adviser registration requirement and exemptions.
- Section 58-13C-404 - Investment adviser representative registration requirement and exemptions.
- Section 58-13C-405 - Federal covered investment adviser notice filing requirement.
- Section 58-13C-406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative.
- Section 58-13C-407 - Succession and change in registration of broker-dealer or investment adviser.
- Section 58-13C-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- Section 58-13C-409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative.
- Section 58-13C-410 - Filing fees.
- Section 58-13C-411 - Post-registration requirements.
- Section 58-13C-412 - Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration.
- Section 58-13C-501 - Securities fraud.
- Section 58-13C-502 - Prohibited conduct in providing investment advice.
- Section 58-13C-503 - Evidentiary burden.
- Section 58-13C-504 - Filing of sales and advertising literature.
- Section 58-13C-505 - Misleading filings.
- Section 58-13C-506 - Misrepresentations concerning registration or exemption.
- Section 58-13C-507 - Qualified immunity.
- Section 58-13C-508 - Criminal penalties.
- Section 58-13C-509 - Civil liability.
- Section 58-13C-510 - Rescission offers.
- Section 58-13C-601 - Administration.
- Section 58-13C-602 - Investigations and subpoenas.
- Section 58-13C-603 - Civil enforcement.
- Section 58-13C-604 - Administrative enforcement.
- Section 58-13C-605 - Rules, forms, orders, interpretative opinions and hearings.
- Section 58-13C-606 - Administrative files and opinions.
- Section 58-13C-607 - Public records; confidentiality.
- Section 58-13C-608 - Uniformity and cooperation with other agencies.
- Section 58-13C-609 - Judicial review.
- Section 58-13C-610 - Jurisdiction.
- Section 58-13C-611 - Service of process.
- Section 58-13C-701 - Application of act to existing proceedings and existing rights and duties.
Disclaimer: These codes may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.