N.M. Admin. Code § 12.11.14.10
Current through Register Vol. 35, No. 21, November 5, 2024
Municipal securities which are covered securities pursuant to Section 18(b)(4)(C) of the Securities Act of 1933 shall file a notice prior to any offer or sale of such security in this state on form U-1, uniform application to register securities, unless the securities meet the requirements of the exemption pursuant to Section 58-13C-201 A. The form U-1 shall be stamped "notice filing" and shall be accompanied by the appropriate fee calculated pursuant to Section 58-13C-305 B, which shall be based on the amount estimated to be sold in this state.
N.M. Admin. Code § 12.11.14.10