News and Announcements

Securities: News and Announcements

12/9/2021 – Securities Division Authorizes Remote Audits by Broker-Dealers of Singe Agent Branch Offices for 2022
4/1/2021 - Increase in Reg A Offering Limits
2/8/2021 - All Together New Mexico: COVID-Safe Practices for Individuals and Employers
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
12/31/2020 - Extension of Time Granting Temporary Relief to Registrants
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
10/21/2020 - Extension of Time Granting Temporary Relief to Registrants
9/30/2020 - $185 Million Scheme Targeting Elderly Investors
9/7/2020 Securities Division Enters into Administrative Consent Order with Solium Financial Services LLC
8/24/2020 - Amended Order Granting Temporary Relief to Registrants
3/9/2020 - Order Authorizing Branch Office Remote Inspections 2021
3/3/2020 - 06 Second Amended Order Granting Temp Relief Due to COVID-19 Outbreak
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