Statutes, codes, and regulations
New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKINGChapter 11 - SECURITIES
Part 12 - EXEMPT TRANSACTIONS
Section 12.11.12.23 - SECTION 58-13C-203- OFFERS AND SALES OF SECURITIES BY EXEMPT CANADIAN BROKER-DEALERS AND AGENTS

N.M. Admin. Code § 12.11.12.23

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Current through Register Vol. 35, No. 23, December 10, 2024
Section 12.11.12.23 - SECTION 58-13C-203- OFFERS AND SALES OF SECURITIES BY EXEMPT CANADIAN BROKER-DEALERS AND AGENTS

Any offer or sale of a security effected by a Canadian broker-dealer or agent of such broker-dealer exempted from registration pursuant to 12.11.2.17 NMAC is exempted from the securities registration requirements of Section 58-13C-301 and the filing requirements of Section 58-13C-504 provided that such offer or sale meets the requirements in Subsection D of 12.11.2.17 NMAC.

N.M. Admin. Code § 12.11.12.23

12.11.12.23 NMAC - Rp, 12.11.12.24 NMAC, 1-1-2010