Impacted New Mexicans will receive restitution plus interest SANTA FE – The New Mexico Securities Division announced today that is has joined a multistate settlement with Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade following an investigation into...

SANTA FE – A bill that would establish an enforcement bureau within the Regulation and Licensing Department and expand the Cannabis Control Division’s regulatory authority is one step away from becoming law after passing the New Mexico Senate today. House Bill 10 will...

HB 10 gives Cannabis Control Division more authority over illicit activity SANTA FE — A bipartisan bill that would establish an enforcement bureau within the New Mexico Regulation and Licensing Department and expand the Cannabis Control Division’s regulatory authority...

SANTA FE — Today, the New Mexico Securities Division, as part of a task force of state securities regulators and the U.S. Securities and Exchange Commissions (SEC), announced a $106 million settlement with Vanguard Marketing Corporation and The Vanguard Group, Inc....

Working group finds supervisory failures with Class A mutual fund shares SANTA FE – The New Mexico Securities Division, a member of the North American Securities Administrators Association (NASAA), has joined a $17 million settlement with Edward D. Jones & Co.,...

HB10 will create enforcement bureau necessary to stop illegal activity SANTA FE — A bill that would establish an enforcement bureau within the New Mexico Regulation and Licensing Department (NMRLD) and expand the Cannabis Control Division’s regulatory authority was...

Action taken for Bank Secrecy Act and anti-money laundering violations SANTA FE – The New Mexico Financial Institutions Division and 47 state financial regulatory agencies announced today they have taken coordinated action against Block, Inc. and its mobile payment...