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