N.M. Code R. § 12.11.8.11

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

Section 12.11.8.11 - REGISTRATION BY QUALIFICATION

A registration statement under Section 58-13C-304 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-304 and the consent to service of process on form U-2 required by Section 58-13C-304 B:

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. Code R. § 12.11.8.11

12.11.8.11 NMAC - Rp, 12 NMAC 11.4.4, 1-1-2010