New Mexico Uniform Securities Act
New Mexico · Financial Institutions and Regulations · §§ 58-13C-101 to 58-13C-701 · 50 sections
Overview
This act governs the offer and sale of securities within a state, establishing a regulatory framework administered by a state securities authority. It defines the securities, transactions, and market participants subject to regulation, and requires broker-dealers, sales representatives, transfer agents, investment advisers, and their representatives to be licensed, with examination requirements, application and fee procedures, and exemptions for certain categories of firms and individuals. It also addresses fraud and deceit in connection with securities transactions, and extends coverage to specialized investment products such as viatical settlements.
Editorial summary generated from the text of this act. It is not part of the statute — read the sections below for the operative language.
In the courts
Sections of this act have been cited in 1 court decision.
Most-cited authority: 702 F.3d 1220 - Hill ex rel. New Mexico Educational Retirement Fund v. Vanderbilt Capital Advisors, LLC
Sections covered
- § 58-13C-101 NMSA 1978Short title
- § 58-13C-102 NMSA 1978Definitions
- § 58-13C-103 NMSA 1978References to federal statutes
- § 58-13C-104 NMSA 1978References to federal agencies
- § 58-13C-105 NMSA 1978Electronic records and signatures
- § 58-13C-201 NMSA 1978Exempt securities
- § 58-13C-202 NMSA 1978Exempt transactions
- § 58-13C-203 NMSA 1978Additional exemptions and waivers
- § 58-13C-204 NMSA 1978Denial, suspension, revocation, condition or limitation of exemptions
- § 58-13C-301 NMSA 1978Securities registration requirement
- § 58-13C-302 NMSA 1978Notice filing
- § 58-13C-303 NMSA 1978Securities registration by coordination
- § 58-13C-304 NMSA 1978Securities registration by qualification
- § 58-13C-305 NMSA 1978Securities registration filings
- § 58-13C-306 NMSA 1978Denial, suspension and revocation of securities registration
- § 58-13C-307 NMSA 1978Waiver and modification
- § 58-13C-401 NMSA 1978Broker-dealer registration requirement and exemptions
- § 58-13C-402 NMSA 1978Agent registration requirement and exemptions
- § 58-13C-403 NMSA 1978Investment adviser registration requirement and exemptions
- § 58-13C-404 NMSA 1978Investment adviser representative registration requirement and exemptions
- § 58-13C-405 NMSA 1978Federal covered investment adviser notice filing requirement
- § 58-13C-406 NMSA 1978Registration by broker-dealer, agent, investment adviser and investment adviser representative
- § 58-13C-407 NMSA 1978Succession and change in registration of broker-dealer or investment adviser
- § 58-13C-408 NMSA 1978Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- § 58-13C-409 NMSA 1978Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative
- § 58-13C-410 NMSA 1978Filing fees
- § 58-13C-411 NMSA 1978Post-registration requirements
- § 58-13C-412 NMSA 1978Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration
- § 58-13C-501 NMSA 1978Securities fraud
- § 58-13C-502 NMSA 1978Prohibited conduct in providing investment advice
- § 58-13C-503 NMSA 1978Evidentiary burden
- § 58-13C-504 NMSA 1978Filing of sales and advertising literature
- § 58-13C-505 NMSA 1978Misleading filings
- § 58-13C-506 NMSA 1978Misrepresentations concerning registration or exemption
- § 58-13C-507 NMSA 1978Qualified immunity
- § 58-13C-508 NMSA 1978Criminal penalties
- § 58-13C-509 NMSA 1978Civil liability1 cite
- § 58-13C-510 NMSA 1978Rescission offers
- § 58-13C-601 NMSA 1978Administration
- § 58-13C-602 NMSA 1978Investigations and subpoenas
- § 58-13C-603 NMSA 1978Civil enforcement
- § 58-13C-604 NMSA 1978Administrative enforcement
- § 58-13C-605 NMSA 1978Rules, forms, orders, interpretative opinions and hearings
- § 58-13C-606 NMSA 1978Administrative files and opinions
- § 58-13C-607 NMSA 1978Public records; confidentiality
- § 58-13C-608 NMSA 1978Uniformity and cooperation with other agencies
- § 58-13C-609 NMSA 1978Judicial review
- § 58-13C-610 NMSA 1978Jurisdiction
- § 58-13C-611 NMSA 1978Service of process
- § 58-13C-701 NMSA 1978Application of act to existing proceedings and existing rights and duties
Enacted in other states
Connecticut, Hawaii, Iowa, Idaho, Indiana, Massachusetts, New Hampshire, Nevada, South Carolina, South Dakota, Utah, Vermont, West Virginia, Wyoming
All New Mexico named statutes →
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