New Mexico Uniform Securities
State of New Mexico
58-13C-101Short title58-13C-102Definitions58-13C-103References to federal statutes58-13C-104References to federal agencies58-13C-105Electronic records and signatures58-13C-201Exempt securities58-13C-202Exempt transactions58-13C-203Additional exemptions and waivers58-13C-204Denial, suspension, revocation, condition or limitation of exemptions58-13C-301Securities registration requirement58-13C-302Notice filing58-13C-303Securities registration by coordination58-13C-304Securities registration by qualification58-13C-305Securities registration filings58-13C-306Denial, suspension and revocation of securities registration58-13C-307Waiver and modification58-13C-401Broker-dealer registration requirement and exemptions58-13C-402Agent registration requirement and exemptions58-13C-403Investment adviser registration requirement and exemptions58-13C-404Investment adviser representative registration requirement and exemptions58-13C-405Federal covered investment adviser notice filing requirement58-13C-406Registration by broker-dealer, agent, investment adviser and investment adviser representative58-13C-407Succession and change in registration of broker-dealer or investment adviser58-13C-408Termination of employment or association of agent and investment adviser representative and transfer of employment or association58-13C-409Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative58-13C-410Filing fees58-13C-411Post-registration requirements58-13C-412Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration58-13C-501Securities fraud58-13C-502Prohibited conduct in providing investment advice58-13C-503Evidentiary burden58-13C-504Filing of sales and advertising literature58-13C-505Misleading filings58-13C-506Misrepresentations concerning registration or exemption58-13C-507Qualified immunity58-13C-508Criminal penalties58-13C-509Civil liability58-13C-510Rescission offers58-13C-601Administration58-13C-602Investigations and subpoenas58-13C-603Civil enforcement58-13C-604Administrative enforcement58-13C-605Rules, forms, orders, interpretative opinions and hearings58-13C-606Administrative files and opinions58-13C-607Public records; confidentiality58-13C-608Uniformity and cooperation with other agencies58-13C-609Judicial review58-13C-610Jurisdiction58-13C-611Service of process58-13C-701Application of act to existing proceedings and existing rights and duties