N.M. Code R. § 12.11.16.8

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

Section 12.11.16.8 - FORMS RELATING TO REGISTRATION OF SECURITIES

The forms set forth in this part 16 are prescribed for registration or exemption matters under the New Mexico Uniform Securities Act. For exemptions where no form is prescribed, a letter setting forth details and claiming the exemption is acceptable.

A. Form U-1, uniform application to register securities, shall be used for registrations by filing, coordination and qualification.

B. Form U-2, uniform consent to service of process, shall be used for all securities registrations.

C. Form U-2A, uniform corporate resolution, shall be used for all corporate securities registrations.

D. Form U-7, small company offerings registration, may be used for all registrations of securities from small corporate offerings.

E. Security escrow agreement may be used in connection with escrow of promotional shares as set forth in 12.11.9.13 NMAC.

N.M. Code R. § 12.11.16.8

12.11.16.8 NMAC - Rp, 12.11.16.8 NMAC, 1-1-2010