Securities Division

Click here to review the proposed new rules to be implemented under the New Mexico Uniform Securities Act.
Written comments regarding the proposed new rules should be directed to:
Marianne Woodard, Attorney, Securities Division
New Mexico Regulation and Licensing Department
2550 Cerrillos Rd.
Toney Anaya Bldg 3rd Floor
Santa Fe, NM 87505
or Faxed to (505) 984-0617.
The Securities Division must receive any comments, in writing, no later than 5:00 pm on December 7, 2009.

Filing Requirements for Rules 505 and 506 have changed. Click here for guidelines.

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The Securities Division protects New Mexicans from fraud and financial abuse by:

Licensing securities broker-dealers, financial advisers and other investment professionals, and by registering certain securities offered in New Mexico;
Registering certain securities in New Mexico;
Investigating financial fraud and violations of state securities laws; and
Assisting consumers in avoiding fraud and making appropriate financial decisions.

For more information contact:

New Mexico Securities Division
Toney Anaya Building
2550 Cerrillos Road, Third Floor
Santa Fe, NM 87505
(505)476-4580
(800) 704-5533 Toll Free in New Mexico