N.M. Admin. Code § 12.11.13.9

Current through Register Vol. 35, No. 21, November 5, 2024

Section 12.11.13.9 - NOTICE

A. The issuer shall file with the director a notice on form D ( 17 C.F.R. 239.500) :

(1) five days prior to making any offer in this state and at such other times and in the form required under Regulation D, Rule 230.503 of the Securities Act of 1933 to be filed with the SEC;

(2) including with or in the notice a consent to service of process, unless otherwise available; and

(3) a filing fee of $350.00.

B. The notice shall contain the information furnished by the issuer to offerees. In the case of offerings of direct participation programs as defined in Paragraph 2310(a)(4) of the FINRA manual, delivery of a disclosure document containing the information required by Rule 502(b)(2) of Regulation D to individuals covered by Subsections (5), (6), and (7) of Rule 501(a) of Regulation D is required.

N.M. Admin. Code § 12.11.13.9

12.11.13.9 NMAC - Rp, 12 NMAC 11.4.7.2.11.2, 1-1-2010