Securities Division

New Rules effective January 1, 2010:

12.11.1 NMAC	GENERAL PROVISIONS
12.11.2 NMAC	BROKER-DEALERS AND AGENTS
12.11.3 NMAC	BROKER-DEALER AND AGENTS RECORDS
12.11.4 NMAC	BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
12.11.5 NMAC	INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
12.11.6 NMAC	INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RECORDS
12.11.7 NMAC	INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
12.11.8 NMAC	REGISTRATION OF SECURITIES - GENERAL PROVISIONS
12.11.9 NMAC	STANDARDS APPLICABLE TO REGISTERED OFFERINGS
12.11.10 NMAC	SMALL COMPANY OFFERING REGISTRATION (SCOR)
12.11.11 NMAC	EXEMPT SECURITIES
12.11.12 NMAC	EXEMPT TRANSACTIONS
12.11.13 NMAC	UNIFORM LIMITED OFFERING EXEMPTION
12.11.14 NMAC	NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES
12.11.15 NMAC	FRAUDULENT PRACTICES
12.11.16 NMAC	FORMS
12.11.17 NMAC	USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS