Registration of Securities, Claims of Exemptions, and Notice Filing: Fees
Please make checks payable to: New Mexico Securities Division
| Registration of Securities Fees |
| Registration Fee (Coordination, Qualification & Filing) –1/10 of 1% of aggregated amount of securities to be offered in NM. |
$525-$2500 |
| Industrial Revenue Bonds–1/10 of 1% of aggregated amount of securities to be offered in NM. |
$525-$2500 |
| Fee to Register Additional Securities After Effective Date of Registration (Not applicable to mutual funds after June 30, 1999) - 3/10 of 1% of aggregated amount of securities to be offered in NM. |
$525-$2500 |
| Small Company Offering Registration (SCOR) fee |
$525 |
| Exemptions from Registration Fees |
| Reg. D, Rule 505 Claim of Exemption Filing Fee |
$350 |
| Amendment to Change Name of Issuer |
$50 |
| Claim of Exemption 58-13C-202N [Sales to Ten or Fewer Purchasers] |
$0 |
| Claim of Exemption 58-13C-202R [Merger/Reorganization] |
$50 |
| Claim of Exemption 58-13C-202X [Small Offerings by Issuers With Local Operations] |
$350 |
| Claim of Exemption 58-13C-202Y [Limited Offering Exemption] |
$0 |
| Accredited Investor Claim of Exemption NMAC 12.11.12.19 |
$350 |
| Notice Filing Fees |
| Mutual Funds Federal Notice Filing Fee |
$525 |
| Unit Investment Trust Federal Notice Filing Fee |
$200 |
| Amendment to Change Name of Issuer |
$50 |
| Reg. D, Rule 506 Federal Notice Filing Fee, if filed within 15 days after first sale in the State |
$350 |
| Late Filing Rule 506, total filing amount if filed 10 days after due date |
$700 |
| Late Filing Rule 506, total filing amount if filed 11 or more days after due date |
$1050 |
| Miscellaneous Fees |
| Interpretive Opinion |
$300 |
| No Action Letter |
$300 |
| Amendment to change name of Issuer |
$50 |