N.M. Code R. § 12.11.10.12

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

Section 12.11.10.12 - EXHIBITS

In addition to filing a properly completed form U-7, applicants for SCOR registration shall file, to the extent applicable, the following documents with the director:

A. form of selling agency agreement;

B. the issuer's articles of incorporation or other charter documents and all amendments thereto;

C. the issuer's bylaws, as amended to date;

D. copy of any resolutions by directors setting forth terms and provisions of capital stock to be issued;

E. any indenture, form of note or other contractual provision containing terms of notes or other debt, or of options, warrants, or rights to be offered;

F. specimen of security to be offered (including any legend restricting resale);

G. form U-2, uniform consent to service of process, accompanied by an appropriate form U-2A, uniform corporate resolution;

H. copy of all advertising or other materials directed to or to be furnished investors in the offering;

I. form of escrow agreement for escrow of proceeds;

J. consent to inclusion in disclosure document of accountant's report;

K. consent to inclusion in disclosure document of tax advisor's opinion or description of tax consequences;

L. consent to inclusion in disclosure document of any evaluation of litigation or administrative action by counsel;

M. form of any subscription agreement for the purchase of securities in this offering;

N. schedule of residential addresses of officers, directors, principal stockholders, and limited liability company and limited liability partnership members; and

O. work sheets showing computations of responses to questions 33, 36(a), 40(a), 41, 68(a) and 68(b) of form U-7.

N.M. Code R. § 12.11.10.12

12.11.10.12 NMAC - Rp, 12 NMAC 11.4.6.5, 1-1-2010