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Securities: News and Announcements

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12/2/25 - Securities Division Authorizes Remote Audits for Broker-Dealers of Single Agent Branch Offices for 2026
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10/23/25 - Safeguard Metals liable for $51 million in precious metals fraud
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6/25/25 - New Mexico joins multistate settlement with financial firms for overcharging customers
5/12/2025 – New Mexico Securities Division Exempts Accredited Investors from September 9, 2014, Statement of Policy Regarding Real Estate Investment Trusts and Business Development Company Offerings
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1/28/25 - New Mexico joins $106 million settlement with Vanguard over big tax bills
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1/24/25 - Securities Division joins $17 million multistate settlement with Edward Jones
12/3/2024 – Securities Division Authorizes Remote Audits by Broker-Dealers of Single Agent Branch Offices for 2025
4/10/2024 – New Mexico Securities Division settles with cryptocurrency platform, Abra
4/3/2024 – New Mexico Securities Division highlights proactive investor protection tips for Financial Capability Month
3/12/2024 – New Mexico Securities Division Joins $1.5 Million Multistate Securities Settlement Against Crypto Platform, TradeStation
2/8/2024 – New Mexico Securities Division issues romance scam alert for online dating
12/20/2023 – New Mexico Securities Division alerting seniors and other vulnerable populations about “pig butchering” financial scam
10/27/2023 – New Mexico Securities Division, CFTC, and 29 Other State Regulators Reach Settlement with Precious Metals Dealer, Safeguard Metals
4/14/2023 – State to receive an estimated $425,500 in settlement agreement regarding unregistered securities
3/16/2022 – Securities Division Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine
2/14/2022 – New Mexico Joins with 32 Other States and SEC to announce $100 Million Settlement with BlockFi
2/1/2022 – Securities Division Partners with CFTC and 26 State Securities Regulators to Stop $68 Million Precious Metals Scheme that Targeted the Elderly
4/1/2021 - Increase in Reg A Offering Limits
2/1/2021 - Securities Division Reminds Regulated Firms of Customer Obligations and Investors about Risk of Stock Price Volatility
1/8/2021 - Securities Division Reminds Firms to Contact Regulators with Issues Related to Solarwinds Breach
11/16/2020 - New Mexico Outlines Opposition to SEC’s Recently Proposed Broker-Dealer Exemption
10/26/2020 - Trio Convicted of Defrauding Investors in Medical Marijuana Investment Scheme
9/30/2020 - $185 Million Scheme Targeting Elderly Investors
9/7/2020 Securities Division Enters into Administrative Consent Order with Solium Financial Services LLC
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