News and Announcements HomeSecurities DivisionAbout UsNews and Announcements Explore Section Securities DivisionAbout Us Contact Us File a Complaint Guidelines for COVID-19 Verify Licensed Professionals Industry Links Enforcement File a Complaint File a Protecting Vulnerable Adults Complaint Recent Enforcement Actions Firms & Industry Professionals Broker-Dealers and Sales Reps Forms and Fees Frequently Asked Questions Registration Information Investment Advisors Forms and Fees Registration Information The Examination Process Upload Document What to Expect Vulnerable Adults Registering Securities and Exemptions Additional Exemptions and Restrictions Burden of Proof Consequences of Non-Compliance Definition of Security Exempt Securities Exempt Transactions Common Exemptions Accredited Investor Employee Benefits Plan Existing Shareholders Limited Offering Rule 506 Sales to Ten or Fewer Purchasers Small Offerings by Issuers with Local Operations Forms and Fees Registration by Coordination Registration by Qualification Statute and Rules NM Securities Rules NM Uniform Securities Act Opinions Protecting Vulnerable Adults from Financial Exploitation Act Rules Consumer Protection & Investor Education Securities: News and Announcements 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
