N.M. Code R. § 12.11.1.13

Current through Register Vol. 35, No. 11, June 11, 2024

Section 12.11.1.13 - ADOPTION OF UNIFORM FORMS

A. The following uniform forms promulgated by the SEC, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

(1) "Form ADV", uniform application for investment adviser registration;

(2) "Form ADV-E", uniform certificate of accounting of client securities and funds in the possession or custody of an investment adviser;

(3) "Form ADV-H", uniform application for a temporary or continuing hardship exemption;

(4) "Form ADV-W", uniform notice of withdrawal from registration as investment adviser;

(5) "Form BD", uniform application for broker-dealer registration;

(6) "Form BDW", uniform request for broker-dealer withdrawal; and

(7) "Form D", notice of sale of securities pursuant to regulation D.

B. The following uniform forms promulgated by FINRA and approved by the SEC, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

(1) "Form BR", uniform branch office registration form;

(2) "Form U-4", uniform application for securities industry registration or transfer; and

(3) "Form U-5", uniform termination notice for investment adviser registration.

C. The following uniform forms adopted by NASAA, including subsequent amendments, are hereby adopted by reference for use in New Mexico:

(1) "Form NF", uniform investment company notice filing;

(2) "Form U-1", uniform application to register securities;

(3) "Form U-2", uniform consent to service of process;

(4) "Form U-2A", uniform corporate resolution; and

(5) "Form U-7", small company offerings registration;

N.M. Code R. § 12.11.1.13

12.11.1.12 NMAC - N, 1-1-2010