News and Information
New filing requirements for Rules 505 and 506. Click here for guidelines.
Press Releases
11-12-2008
State Securities Regulators Join with AARP to Fact-Check ‘Free Lunch’ Investment Pitches
The New Mexico Regulation and Licensing Department Securities Division is working with
the AARP and securities regulators in other states in a nationwide probe of “free lunch”
investment
seminars.
09-29-2008
State Securities Regulator Cautions Investors, Offers Tips against Hasty Response to Market Turmoil
The state’s chief securities regulator today cautioned New Mexico investors against making sudden and uninformed decisions in response to the current market volatility and unprecedented turmoil on Wall Street.
06-18-2008
Securities Regulators Warn Against Con Artists Exploiting Economic Uncertainty, Turmoil in Energy and Real Estate Markets
Soaring energy costs, falling real estate prices and a turbulent stock market add up to opportunity for crooks peddling fraudulent investments, according to Bruce R. Kohl, director of the New Mexico Regulation and Licensing Department Securities Division.
06-02-2008
Securities Division Recovers Investors’ Funds Settlement, Requires Refunds from Morgan Stanley
The New Mexico Regulation and Licensing Department Securities Division has entered into a stipulated agreement with the Morgan Stanleyinvestment firm to refund nearly $50,000 to New Mexico residents who invested in offerings the firm failed to register as securities in New Mexico.
03-24-2008
State Securities Regulators Probe N.M. Wildcats
The Securities Division of the state Regulation and Licensing Department has opened an investigation of the New Mexico Wildcats, a proposed professional football franchise accused of violating Colorado securities law.
