1. A. The following uniform forms promulgated by the SEC, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

   (1) “Form ADV”, uniform application for investment adviser registration;

   (2) “Form ADV-E”, uniform certificate of accounting of client securities and funds in the possession or custody of an investment adviser;

   (3) “Form ADV-H”, uniform application for a temporary or continuing hardship exemption;

   (4) “Form ADV-W”, uniform notice of withdrawal from registration as investment adviser;

   (5) “Form BD”, uniform application for broker-dealer registration;

   (6) “Form BDW”, uniform request for broker-dealer withdrawal; and

   (7) “Form D”, notice of sale of securities pursuant to regulation D.

2. B. The following uniform forms promulgated by FINRA and approved by the SEC, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

   (1) “Form BR”, uniform branch office registration form;

   (2) “Form U-4”, uniform application for securities industry registration or transfer; and

   (3) “Form U-5”, uniform termination notice for investment adviser registration.

3. C. The following uniform forms adopted by NASAA, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

   (1) “Form NF”, uniform investment company notice filing;

   (2) “Form U-1”, uniform application to register securities;

   (3) “Form U-2”, uniform consent to service of process;

   (4) “Form U-2A”, uniform corporate resolution; and

   (5) “Form U-7”, small company offerings registration;

   HISTORY of 12.11.1 NMAC:

   Pre-NMAC History:

   Material in this part was derived from that previously filed with the commission of public records - state records center and archives:

   FID 67-1, Regulation 67-62, General Requirements, filed 5-18-67;

   FID 76-1, Order 76-64, Regulation 76-1, Relating to Options Clearing Corporations, filed 3-26-76;

   SB Rule 84-1, New Mexico Blue Sky Regulations, filed 9-5-84;

   SD Rule 86-1.01, Short Title, filed 7-11-86;

   SD Rule 86-1.02, Authority, filed 7-11-86;

   SD Rule 86-2.01, Definitions, filed 7-11-86;

   SD Rule 86-3.06, Successor Firms Fees, filed 7-11-86;

   SD Rule 86-3.07, Inspections, filed 7-11-86;

   SD Rule 86-8.01, Fees, filed 7-14-86;

   SD Rule 86-8.02, Administrative Fees, filed 7-14-86;

   SD Rule 86-9.01, Application of Rule, filed 7-14-86;

   SD Rule 86-9.02, Service, filed 7-14-86;

   SD Rule 86-9.03, Administrative Conferences, filed 7-14-86;

   SD Rule 86-9.04, Motions, filed 7-14-86;

   SD Rule 86-9.05, Discovery, filed 7-14-86;

   SD Rule 86-9.06, Venue, filed 7-14-86;

   SD Rule 86-9.07, Evidence, filed 7-14-86;

   SD Rule 86-9.08, Findings of Fact and Conclusions of Law, filed 7-14-86;

   SD Rule 86-9.09, Costs on Appeal, filed 7-14-86.

   History of Repealed Material:

   12 NMAC 11.1.1.1, Index - New Mexico Blue Sky Regulations, repealed 5-1-99.

   12.11.1 NMAC, General Provisions (filed 6-2-2003) repealed 1-1-2010.

   Other History:

   SD Rule 86-1.01, Short Title (filed 7-11-86); SD Rule 86-1.02, Authority (filed 7-11-86); SD Rule 86-2.01, Definitions (filed 7-11-86); SD Rule 86-3.06, Successor Firms Fees (filed 7-11-86); SD Rule 86-3.07, Inspections (filed 7-11-86); SD Rule 86-8.01, Fees (filed 7-14-86); SD Rule 86-8.02, Administrative Fees (filed 7-14-86); SD Rule 86-9.01, Application of Rule (filed 7-14-86); SD Rule 86-9.02, Service (filed 7-14-86); SD Rule 86-9.03, Administrative Conferences (filed 7-14-86); SD Rule 86-9.04, Motions (filed 7-14-86); SD Rule 86-9.05, Discovery (filed 7-14-86); SD Rule 86-9.06, Venue (filed 7-14-86); SD Rule 86-9.07, Evidence (filed 7-14-86); SD Rule 86-9.08, Findings of Fact and Conclusions of Law (filed 7-14-86); SD Rule 86-9.09, Costs on Appeal (filed 7-14-86) were renumbered into first version of the New Mexico Administrative Code as 12 NMAC 11.1, General Provisions, effective 5-1-99.

   12 NMAC 11.1, General Provisions (filed 4-19-99) was renumbered, amended and replaced by 12.11.1 NMAC, General Provisions, effective 07-01-2003.

   12.11.1 NMAC, General Provisions (filed 6-2-2003) was replaced by 12.11.1 NMAC, General Provisions, effective 1-1-2010.

[12.11.1.12 NMAC - N, 1-1-2010]