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
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
Manage Cookie Consent
The technical storage or access is strictly necessary for the legitimate purpose of enabling the use of a specific service explicitly requested by the subscriber or user, or for the sole purpose of carrying out the transmission of a communication over an electronic communications network.
The technical storage or access is necessary for the legitimate purpose of storing preferences that are not requested by the subscriber or user.
The technical storage or access that is used exclusively for statistical purposes.The technical storage or access that is used exclusively for anonymous statistical purposes. Without a subpoena, voluntary compliance on the part of your Internet Service Provider, or additional records from a third party, information stored or retrieved for this purpose alone cannot usually be used to identify you.
The technical storage or access is required to create user profiles to send advertising, or to track the user on a website or across several websites for similar marketing purposes.