Any offer or sale of a security effected by a Canadian broker-dealer or agent of such broker-dealer exempted from registration pursuant to 12.11.2.17 NMAC is exempted from the securities registration requirements of Section 58-13C-301 and the filing requirements of Section 58-13C-504 provided that such offer or sale meets the requirements in Subsection D of 12.11.2.17 NMAC.

HISTORY of 12.11.12 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 86-6.02, Exempt Transactions, filed 7-14-86;

SD Rule 86-6.03, Confirmation of Notice Filing, filed 7-14-86.

History of Repealed Material: 12.11.12 NMAC, Exempt Transactions (filed 1-16-2002) repealed 1-1-2010.

Other History:

SD Rule 86-6.02, Exempt Transactions (filed 7-14-86) and SD Rule 86-6.03, Confirmation of Notice Filing (filed 7-14-86) were renumbered into first version of the New Mexico Administrative Code as 12 NMAC 11.4, Registration and Exemption of Securities, effective 5-01-1999.

Those relevant portions of 12 NMAC 11.4, Registration and Exemption of Securities (filed 4-19-99), were renumbered, reformatted, amended and replaced by 12.11.12 NMAC, Exempt Transactions, effective 01-31-2002.

12.11.12 NMAC, Exempt Transactions (filed 01-16-2002) was replaced by 12.11.12 NMAC, Exempt Transactions, effective 1-1-2010.

[12.11.12.23 NMAC - Rp, 12.11.12.24 NMAC, 1-1-2010]