Ask a question on the site
Questions
Lawyers
Blogs
Legislation
Contacts
Become a lawyer
Login Registration
Article 1 - General Provisions
Section 58-13C-101 - Short title. - Sections 101 through 701 [58-13C-101 to 58-13C-701 NMSA 1978] of...
Section 58-13C-102 - Definitions. - As used in the New Mexico Uniform Securities Act, unless...
Section 58-13C-103 - References to federal statutes. - As used in the New Mexico Uniform Securities Act, "Securities...
Section 58-13C-104 - References to federal agencies. - A reference in the New Mexico Uniform Securities Act to...
Section 58-13C-105 - Electronic records and signatures. - The New Mexico Uniform Securities Act modifies, limits and supersedes...
Article 2 - Exemptions from Registration of Securities
Section 58-13C-201 - Exempt securities. - The following securities are exempt from the requirements of Sections...
Section 58-13C-202 - Exempt transactions. - The following transactions are exempt from the requirements of Sections...
Section 58-13C-203 - Additional exemptions and waivers. - A rule adopted or order issued pursuant to the New...
Section 58-13C-204 - Denial, suspension, revocation, condition or limitation of exemptions. - A. Except with respect to a federal covered security or...
Article 3 - Registration of Securities and Notice Filing of Federal Covered Securities
Section 58-13C-301 - Securities registration requirement. - It is unlawful for a person to offer or sell...
Section 58-13C-302 - Notice filing. - A. With respect to a federal covered security, as defined...
Section 58-13C-303 - Securities registration by coordination. - A. A security for which a registration statement has been...
Section 58-13C-304 - Securities registration by qualification. - A. A security may be registered by qualification pursuant to...
Section 58-13C-305 - Securities registration filings. - A. A registration statement may be filed by the issuer,...
Section 58-13C-306 - Denial, suspension and revocation of securities registration. - A. The director may issue a stop order denying effectiveness...
Section 58-13C-307 - Waiver and modification. - The director may waive or modify, in whole or in...
Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers
Section 58-13C-401 - Broker-dealer registration requirement and exemptions. - A. It is unlawful for a person to transact business...
Section 58-13C-402 - Agent registration requirement and exemptions. - A. It is unlawful for an individual to transact business...
Section 58-13C-403 - Investment adviser registration requirement and exemptions. - A. It is unlawful for a person to transact business...
Section 58-13C-404 - Investment adviser representative registration requirement and exemptions. - A. It is unlawful for an individual to transact business...
Section 58-13C-405 - Federal covered investment adviser notice filing requirement. - A. Except with respect to a federal covered investment adviser...
Section 58-13C-406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative. - A. A person shall register as a broker-dealer, agent, investment...
Section 58-13C-407 - Succession and change in registration of broker-dealer or investment adviser. - A. A broker-dealer or investment adviser may succeed to the...
Section 58-13C-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - A. If an agent registered pursuant to the New Mexico...
Section 58-13C-409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative. - Withdrawal of registration by a broker-dealer, agent, investment adviser or...
Section 58-13C-410 - Filing fees. - A. A person shall pay a fee of three hundred...
Section 58-13C-411 - Post-registration requirements. - A. Subject to Section 15(h) of the federal Securities Exchange...
Section 58-13C-412 - Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration. - A. If the director finds that the order is in...
Article 5 - Fraud and Liabilities
Section 58-13C-501 - Securities fraud. - It is unlawful for a person, in connection with the...
Section 58-13C-502 - Prohibited conduct in providing investment advice. - A. It is unlawful for a person that advises others...
Section 58-13C-503 - Evidentiary burden. - A. In a civil action or administrative proceeding pursuant to...
Section 58-13C-504 - Filing of sales and advertising literature. - A. Except as otherwise provided in Subsection B of this...
Section 58-13C-505 - Misleading filings. - It is unlawful for a person to make or cause...
Section 58-13C-506 - Misrepresentations concerning registration or exemption. - The filing of an application for registration, a registration statement,...
Section 58-13C-507 - Qualified immunity. - A broker-dealer, agent, investment adviser, federal covered investment adviser or...
Section 58-13C-508 - Criminal penalties. - A. A person who willfully violates Section 501 [58-13C-501 NMSA...
Section 58-13C-509 - Civil liability. - A. Enforcement of civil liability pursuant to this section is...
Section 58-13C-510 - Rescission offers. - A purchaser, seller or recipient of investment advice shall not...
Article 6 - Administration and Judicial Review
Section 58-13C-601 - Administration. - A. The director shall administer the New Mexico Uniform Securities...
Section 58-13C-602 - Investigations and subpoenas. - A. The director may: (1) conduct public or private investigations...
Section 58-13C-603 - Civil enforcement. - A. If the director believes that a person has engaged,...
Section 58-13C-604 - Administrative enforcement. - A. If the director determines that a person has engaged,...
Section 58-13C-605 - Rules, forms, orders, interpretative opinions and hearings. - A. The director may: (1) issue forms and orders and,...
Section 58-13C-606 - Administrative files and opinions. - A. The director shall maintain, or designate a person to...
Section 58-13C-607 - Public records; confidentiality. - A. Except as otherwise provided in Subsection B of this...
Section 58-13C-608 - Uniformity and cooperation with other agencies. - A. The director may, in the director's discretion, cooperate, coordinate,...
Section 58-13C-609 - Judicial review. - A. A final order issued by the director pursuant to...
Section 58-13C-610 - Jurisdiction. - A. Sections 301 [58-13C-301 NMSA 1978] and 302 [58-13C-302 NMSA...
Section 58-13C-611 - Service of process. - A. A consent to service of process complying with this...
Article 7 - Transition
Section 58-13C-701 - Application of act to existing proceedings and existing rights and duties. - A. The predecessor act exclusively governs all actions or proceedings...