Securities Division

Welcome to the Securities Division

The primary mission of the New Mexico Securities Division is investor protection. Consistent with that purpose, the Division seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services.  It accomplishes this goal by:

  • Educating New Mexicans about the proper ways of raising investment capital and about the risks associated with investments;
  • Reviewing and approving some types of investment opportunities before issuers raise capital to insure compliance with the law;
  • Discovering, stopping and prosecuting those who violate the laws governing investment capital, or who commit fraud; and
  • Licensing stock brokers and investment advisers whose business is to assist and advise investors.

We are here to help you!

You can contact us at:

2550 Cerrillos Rd. – 3rd Floor
Santa Fe, New Mexico 87505
(505)476-4580         

 

                                  

 

Securities Division

The primary mission of the New Mexico Securities Division is investor protection. Consistent with that purpose, the Division seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services.

About Us

Enforcement

Firms & Industry Professionals

Consumer Protection & Investor Education

Registering Securities and Exemptions

Statutes and Rules

News and Announcements

Skip to content