Fees and Forms
Registration of Securities, Claims of Exemption from Registration, and Notice Filings
| Mutual Funds Federal Notice Filing Fee Pursuant to 58-13B-24P |
$525 |
| Unit Investment Trust Federal Notice Filing Fee Pursuant to 58-13B-24P |
$200 |
| Reg. D, Rule 506 Federal Notice Filing Fee | $350 |
| Reg. D, Rule 505 Claim of Exemption Filing Fee | $350 |
| Amendment to Change Name of Issuer | $50 |
| Registration Fee (Coordination, Qualification & Filing) - 1/10 of 1% of aggregated amount of securities to be offered in NM. $525.00 minimum $2500.00 maximum |
$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. $525.00 minimum $2500.00 maximum | $525 - $2500 |
| Small Company Offering Registration (SCOR) fee | $525 |
| Claim of Exemption 58-13B-27J | $350 |
| Claim of Exemption 58-13B-27N(2) [sales to existing security holders] |
$50 |
| Claim of Exemption 58-13B-27Q [merger/reorganization] | $50 |
| Accredited Investor Claim of Exemption Rule 12 NMAC 11.4.7.2.17 | $350 |
Licensure of Broker-Dealers, Investment Advisers and their Representatives
| *Broker-Dealer Licensing Application and Renewal Fees | $300 |
| Investment Adviser Licensing Application, Renewal and Notice Filing Fees (State Licensed or Federally Licensed) | $300 |
| *Broker-Dealer and Investment Adviser Representative Licensing and Renewal Fees | $40 |
| Broker Dealer and Investment Adviser Name Change Fees | $50 |
| *Mass Transfer Fee (per representative) | $35 |
| Issuer Sales Representative Licensing Application and Renewal Fees | $40 |
* Broker-dealers and their representatives that are members of the NASD submit payment directly to the NASD
Miscellaneous Fees
| Interpretive Opinion & No Action Letters | $300 |
Printable versions of registration and licensing forms (Adobe Acrobat Reader required).
Registration Forms
| Form 27J | Claim the registration exemption pursuant to the statutory provision found at 58-13B-27J NMSA 1978 |
| Form 27K | Claim the registration exemption pursuant to the statutory provision found at 58-13B-27K NMSA 1978 |
| Form 27U | Claim the registration exemption pursuant to the statutory provision found at 58-13B-27U NMSA 1978 |
| Accredited Investor Notice of Exemption | Claim the exemption pursuant to Rule 12 NMAC 11.4.7.2.17 |
| Small Company Offering Registration (SCOR) | Register securities pursuant to Rule 12 NMAC 11.4.6 (disclosure form) |
| Form U1 | Uniform Application to register Securities |
| Form U2 | Consent to Service of Process |
| Form U2A | Corporate Resolution |
| Security Escrow Agreement | Escrow of promoter shares of development stage company |
Licensing Forms
| Affidavit of No Sales | Used by applicant for licensure as a broker-dealer stating that they have not conducted any non-exempt business in the state |
| Broker-Dealer Affidavit | Used by applicant for licensure as a broker dealer stating that they understand the New Mexico definition of "branch office" |
| Form BF2 | Securities Licensees Blanket Bond Form |
| Form U2 | Consent to Service of Process |
| Licensing Resolution | Used by applicant for licensure as a broker-dealer or investment adviser to confirm the authority of the applicant to execute the application |
| Investment Adviser Affidavit | Used by applicant for licensure as an investment adviser stating that they understand the New Mexico definition of "branch office" and the supervisory requirements for branch offices |
