New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 14 - NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES
Section 12.11.14.9 - NOTICE FILING PROCEDURES FOR RULE 506OFFERINGS

Pursuant to Section 58-13C-302 C, an issuer offering a security that is a covered security under Section 18(b)(4)(D) of the Securities Act of 1933 shall file with the director no later than 15 days after the first sale of such federal covered security in this state the following: a notice on SEC form D and a fee of $350. If the notice filing is late but within 10 days after the due date, the fee accompanying the late filing shall be $700. If the notice filing is more than 10 days after the due date, the fee accompanying the late filing shall be $1050. For purposes of this rule, the securities and exchange commission "form D" is defined as the document, as adopted by the securities and exchange commission and in effect on September 1, 1996, as may be amended by the securities and exchange commission from time to time, entitled "form D: notice of sale of securities pursuant to Regulation D, Section 4(6), and/or uniform limited offering exemption," including part E and the appendix. A notice filing shall be considered filed with the New Mexico securities division as of the date on which it is received by the New Mexico securities division.