Article
New Mexico Uniform Securities
- § 58-13C-101 NMSA 1978— Short title
- § 58-13C-102 NMSA 1978— Definitions
- § 58-13C-103 NMSA 1978— References to federal statutes
- § 58-13C-104 NMSA 1978— References to federal agencies
- § 58-13C-105 NMSA 1978— Electronic records and signatures
- § 58-13C-201 NMSA 1978— Exempt securities
- § 58-13C-202 NMSA 1978— Exempt transactions
- § 58-13C-203 NMSA 1978— Additional exemptions and waivers
- § 58-13C-204 NMSA 1978— Denial, suspension, revocation, condition or limitation of exemptions
- § 58-13C-301 NMSA 1978— Securities registration requirement
- § 58-13C-302 NMSA 1978— Notice filing
- § 58-13C-303 NMSA 1978— Securities registration by coordination
- § 58-13C-304 NMSA 1978— Securities registration by qualification
- § 58-13C-305 NMSA 1978— Securities registration filings
- § 58-13C-306 NMSA 1978— Denial, suspension and revocation of securities registration
- § 58-13C-307 NMSA 1978— Waiver and modification
- § 58-13C-401 NMSA 1978— Broker-dealer registration requirement and exemptions
- § 58-13C-402 NMSA 1978— Agent registration requirement and exemptions
- § 58-13C-403 NMSA 1978— Investment adviser registration requirement and exemptions
- § 58-13C-404 NMSA 1978— Investment adviser representative registration requirement and exemptions
- § 58-13C-405 NMSA 1978— Federal covered investment adviser notice filing requirement
- § 58-13C-406 NMSA 1978— Registration by broker-dealer, agent, investment adviser and investment adviser representative
- § 58-13C-407 NMSA 1978— Succession and change in registration of broker-dealer or investment adviser
- § 58-13C-408 NMSA 1978— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- § 58-13C-409 NMSA 1978— Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative
- § 58-13C-410 NMSA 1978— Filing fees
- § 58-13C-411 NMSA 1978— Post-registration requirements
- § 58-13C-412 NMSA 1978— Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration
- § 58-13C-501 NMSA 1978— Securities fraud
- § 58-13C-502 NMSA 1978— Prohibited conduct in providing investment advice
- § 58-13C-503 NMSA 1978— Evidentiary burden
- § 58-13C-504 NMSA 1978— Filing of sales and advertising literature
- § 58-13C-505 NMSA 1978— Misleading filings
- § 58-13C-506 NMSA 1978— Misrepresentations concerning registration or exemption
- § 58-13C-507 NMSA 1978— Qualified immunity
- § 58-13C-508 NMSA 1978— Criminal penalties
- § 58-13C-509 NMSA 1978— Civil liability
- § 58-13C-510 NMSA 1978— Rescission offers
- § 58-13C-601 NMSA 1978— Administration
- § 58-13C-602 NMSA 1978— Investigations and subpoenas
- § 58-13C-603 NMSA 1978— Civil enforcement
- § 58-13C-604 NMSA 1978— Administrative enforcement
- § 58-13C-605 NMSA 1978— Rules, forms, orders, interpretative opinions and hearings
- § 58-13C-606 NMSA 1978— Administrative files and opinions
- § 58-13C-607 NMSA 1978— Public records; confidentiality
- § 58-13C-608 NMSA 1978— Uniformity and cooperation with other agencies
- § 58-13C-609 NMSA 1978— Judicial review
- § 58-13C-610 NMSA 1978— Jurisdiction
- § 58-13C-611 NMSA 1978— Service of process
- § 58-13C-701 NMSA 1978— Application of act to existing proceedings and existing rights and duties