A. The director shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective pursuant to the New Mexico Uniform Securities Act or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued pursuant to the New Mexico Uniform Securities Act or the predecessor act; and interpretative opinions or no action determinations issued pursuant to the New Mexico Uniform Securities Act.
B. The director shall make all rules, forms, interpretative opinions and orders available to the public.
C. The director shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests. A rule adopted pursuant to the New Mexico Uniform Securities Act may establish a reasonable charge for furnishing the record or certification. A copy of the record certified or a certificate by the director of a record's nonexistence is prima facie evidence of a record or its nonexistence.
History: Laws 2009, ch. 82, § 606.
ANNOTATIONSEffective dates. — Laws 2009, ch. 82, § 704 made the New Mexico Uniform Securities Act effective January 1, 2010.
Cross references. — For filing of rules and regulations with the records center, see 14-4-3 NMSA 1978.
Corporation commission's (now public regulation commission's) authority to issue security permits was cancelled by the legislature with the repeal of 48-18-18, 1953 Comp. 1981 Op. Att'y Gen. No. 81-20 (decided under former law).
Law reviews. — For article, "A Survey of the Securities Act of New Mexico," see 2 N.M.L. Rev. 1 (1972).
Am. Jur. 2d, A.L.R. and C.J.S. references. — Investigative authority of administrative agencies in state regulation of securities, 58 A.L.R.5th 293.
69A Am. Jur. 2d Securities Regulation - State § 153.