The Securities Division’s main purpose is to encourage and protect the market for capital in New Mexico. It accomplishes this goal by
- Licensing stock brokers and investment advisers whose business is to assist and advise investors;
- Reviewing and approving some types of investment opportunities before issuers raise capital to insure compliance with the law;
- Discovering, stopping, and prosecuting those who violate the laws governing investment capital, or who commit fraud; and,
- Educating New Mexicans about the proper ways of raising investment capital, and about the risks associated with investments.
The Division is supervised by a Director, and includes specialists in consumer education, compliance, investigation and law. For those situations involving criminal action, like fraud, the Division’s prosecutors work with local District Attorneys in seeking indictments and convictions.
If you have any questions, or have a concern about a fundraising effort you have seen, email or call the Division. Your concern will be addressed promptly, and you will be informed of the Division’s findings and actions.The primary mission of the New Mexico Securities Division is investor protection.