N.M. Admin. Code § 12.11.8.10

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

Section 12.11.8.10 - REGISTRATION BY COORDINATION

A registration statement under Section 58-13C-303(B) shall be submitted on form U-1, shall contain the following information and be accompanied by the following documents, in addition to the information specified in Section 58-13C-303 B and Section 58-13C-305 C and the consent to service of process on form U-2 required by Section 58-13C-303 B(3):

A. copies of the articles of incorporation and by-laws or equivalents currently in effect, any agreements with or among underwriters of the offering, any instrument governing the issuance of the security to be registered, a specimen of the security and, if the security to be registered is a note, bond, debenture or other evidence of indebtedness, a trust indenture, unless the security is a face-amount certificate registered under the Investment Company Act of 1940 or unless the requirement to furnish a trust indenture relating to the securities is waived by the director for good cause shown; and

B. one copy of any other information or any documents required to be filed under form U-1.

N.M. Admin. Code § 12.11.8.10

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