The forms set forth in this part 16 are prescribed for registration or exemption matters under the New Mexico Uniform Securities Act. For exemptions where no form is prescribed, a letter setting forth details and claiming the exemption is acceptable.
- A. Form U-1, uniform application to register securities, shall be used for registrations by filing, coordination and qualification.
- B. Form U-2, uniform consent to service of process, shall be used for all securities registrations.
- C. Form U-2A, uniform corporate resolution, shall be used for all corporate securities registrations.
- D. Form U-7, small company offerings registration, may be used for all registrations of securities from small corporate offerings.
- E. Security escrow agreement may be used in connection with escrow of promotional shares as set forth in 12.11.9.13 NMAC.
[12.11.16.8 NMAC - Rp, 12.11.16.8 NMAC, 1-1-2010]