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.


Consumer Protection and Investor Education

The Division develops and implements programs, provides presentations and participates in outreach events across the state to help New Mexicans learn about smart investing strategies and how to avoid falling victim to fraud.

Enforcement

The Division pursues criminal, civil and administrative actions against individuals and firms accused of defrauding investors. The Division also works with local, state and federal law enforcement officials to help accomplish its goals.

Compliance

The Division is responsible for reviewing all public, non-traded offerings of securities to determine whether they meet the requirements of the state as well as federal level regulators.

The Division conducts routine examinations of securities industry participants located within the state.

 

News and Announcements

April 1, 2021 - Increase in Reg A Offering Limits
February 8, 2021 - All Together New Mexico: COVID-Safe Practices for Individuals and Employers
February 1, 2021 - Securities Division Reminds Regulated Firms of Customer Obligations and Investors about Risk of Stock Price Volatility
January 8, 2021 - Securities Division Reminds Firms to Contact Regulators with Issues Related to Solarwinds Breach
December 31, 2020 - Extension of Time Granting Temporary Relief to Registrants
November 16, 2020 - New Mexico Outlines Opposition to SEC’s Recently Proposed Broker-Dealer Exemption
October 26, 2020 - Trio Convicted of Defrauding Investors in Medical Marijuana Investment Scheme
October 21, 2020 - Extension of Time Granting Temporary Relief to Registrants
September 30, 2020 - $185 Million Scheme Targeting Elderly Investors
September 7, 2020 Securities Division Enters into Administrative Consent Order with Solium Financial Services LLC
August 24, 2020 - Amended Order Granting Temporary Relief to Registrants

What We Do

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

Statute and Rules

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