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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

By Jim Hamilton

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New Mexico Proposes Rule Revisions to Align with New 2010 Securities Act

Rule amendments were proposed by the New Mexico Securities Division to align the rules with adoption of the new New Mexico Uniform Securities Act that takes effect January 1, 2010. The rule changes are likewise anticipated to become effective on January 1. Many of the proposed changes are nonsubstantive, updating rule references to reflect the correct section and subsection numbers of the new Act, lower-casing certain words like "director" and the first letter of the first word of certain subsections. A number of the substantive amendments are being made to the investment adviser rules. Please note that upon adoption a fair amount of CCH paragraph numbers will shift to correspond to different rules than they do now.

Interested persons may submit written comments about the rule proposals to Marianne Woodard, Attorney, Securities Division, New Mexico Regulation and Licensing Department, 2550 Cerrillos Rd., Toney Anaya Bldg 3rd Floor, Santa Fe, NM 87505. Alternatively, comments may be faxed to (505) 984-0617. Comments must be received by December 7, 2009.

For the text of the proposed rules please see here.

Full post as published by Jim Hamilton's World of Securities Regulation on November 20, 2009 (boomark / email).