New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 10 - SMALL COMPANY OFFERING REGISTRATION (SCOR)
Section 12.11.10.12 - EXHIBITS
Current through Register Vol. 35, No. 18, September 24, 2024
In addition to filing a properly completed form U-7, applicants for SCOR registration shall file, to the extent applicable, the following documents with the director:
A. form of selling agency agreement;
B. the issuer's articles of incorporation or other charter documents and all amendments thereto;
C. the issuer's bylaws, as amended to date;
D. copy of any resolutions by directors setting forth terms and provisions of capital stock to be issued;
E. any indenture, form of note or other contractual provision containing terms of notes or other debt, or of options, warrants, or rights to be offered;
F. specimen of security to be offered (including any legend restricting resale);
G. form U-2, uniform consent to service of process, accompanied by an appropriate form U-2A, uniform corporate resolution;
H. copy of all advertising or other materials directed to or to be furnished investors in the offering;
I. form of escrow agreement for escrow of proceeds;
J. consent to inclusion in disclosure document of accountant's report;
K. consent to inclusion in disclosure document of tax advisor's opinion or description of tax consequences;
L. consent to inclusion in disclosure document of any evaluation of litigation or administrative action by counsel;
M. form of any subscription agreement for the purchase of securities in this offering;
N. schedule of residential addresses of officers, directors, principal stockholders, and limited liability company and limited liability partnership members; and
O. work sheets showing computations of responses to questions 33, 36(a), 40(a), 41, 68(a) and 68(b) of form U-7.