Forms
Registration Forms
Printable versions of registration and licensing forms (Adobe Acrobat Reader required).
| Form 202X | Claim the registration exemption pursuant to the statutory provision found at 58-13C-202X NMSA 1978 |
| Form 202Y | Claim the registration exemption pursuant to the statutory provision found at 58-13C-202Y NMSA 1978 |
| Form 202N | Claim the registration exemption pursuant to the statutory provision found at 58-13C-202N NMSA 1978 |
| Accredited Investor Notice of Exemption | Claim the exemption pursuant to Rule NMAC 12.11.12.19 |
| SCOR Requirements | Introduction, Requirements, and Instructions |
| SCOR Manual | Detailed instructions for completing Form U-7 |
| Small Company Offering Registration (SCOR) [PDF] | Disclosure form U-7 to register securities pursuant to Rule NMAC 12.11.10 - PDF format |
| Small Company Offering Registration (SCOR) [DOC] | Disclosure form U-7 to register securities pursuant to Rule NMAC 12.11.10 - MS Word format |
| Form U1 | Uniform Application to register Securities |
| Form U2 | Consent to Service of Process |
| Form U2A | Corporate Resolution |
| Security Escrow Agreement | Escrow of promoter shares of development stage company |
Licensing Forms
| Affidavit of No Sales | Used by applicant for licensure as a broker-dealer stating that they have not conducted any non-exempt business in the state |
| Form BF2 | Securities Licensees Blanket Bond Form |
| Form U2 | Consent to Service of Process |
