New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
Section 12.11.5.11 - NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED INVESTMENT ADVISERS
Current through Register Vol. 35, No. 18, September 24, 2024
A. Notice Filing. The notice filing for a federal covered investment adviser under Section 58-13C-405 C of the New Mexico Uniform Securities Act shall be filed with the IARD on an executed form ADV. A notice filing shall be deemed filed when the fee required by Section 58-13C-410 E and the complete form ADV are filed with and accepted by the IARD on behalf of the state.
B. Annual renewal. The annual renewal of the notice filing for a federal covered investment adviser pursuant to Section 58-13C-405 C shall be filed with the IARD. The renewal of the notice filing for a federal covered investment adviser shall be deemed filed when the fee required by Section 58-13C-410 E is filed with and accepted by the IARD on behalf of the state.
C. Updates and amendments.