New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 2 - BROKER-DEALERS AND AGENTS
Section 12.11.2.16 - ISSUER AGENTS - SCOR OFFERINGS
Universal Citation: 12 NM Admin Code 12.11.2.16
Current through Register Vol. 35, No. 18, September 24, 2024
Persons acting for an issuer effecting offers and sales of securities registered pursuant to 12.11.10 NMAC, Small Company Offering Registration (SCOR), to whom no commissions or other similar compensation is paid or given directly or indirectly for effecting such transactions are exempt from the requirements of Sections 58-13C-401 A and 58-13C-402 A.
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