Registration of Securities, Claims of Exemption and Notice Filings
The Securities registration section is responsible for reviewing all public, non-traded offerings of securities to determine whether they meet the requirements of the State of New Mexico as well as the North American Securities Administrators Association (NASAA) in order to adequately protect the rights of the residents. Registered offerings are reviewed to determine whether there is a fair allocation of risk between the investors and the promoters and to ensure that the offering documents adequately disclose the known risks of the investment.
The Securities Division also exempts certain investments offered in New Mexico. Please click here to review our Small Offerings - Brochure.
Regulation D Limited Offerings:
The Securities and Exchange Commission (SEC) adopted revisions to Form D and the rules for filing the form. See Securities Act Release No. 33-8891 (Feb. 6, 2008). Electronic filing became mandatory for all Form D filings with the SEC.
PLEASE NOTE THAT RULE 504 REGISTRATIONS ARE NOT COVERED IN THIS MEMORANDUM. PLEASE REFER TO THE SMALL COMPANY OFFERING REGISTRATION (SCOR) UNDER NEW MEXICO RULE 12.11.10 NMAC.
To find out more about all of these please refer to our Securities Filings, Registrations and Exemptions FAQs.
Nona Lane - firstname.lastname@example.org
Rosemarie Ulibarri - Compliance Manager