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Guidelines for COVID-19

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Securities Division Guidelines for Covid-19

The New Mexico Securities Division will continue to provide services to industry and the public.

  • Securities Division staff are available by email and telephone, Monday through Friday, from 8:00am to 5:00pm (MST). Staff are available for in-person meetings by appointment. Current Covid-19 health and safety guidelines will be followed.
  • The Securities Division will continue to investigate potential violations of the New Mexico Securities laws.
  • The Securities Division is accepting all filings, and the division requests any and all required filings be kept current.
  • If you or your firm encounters potential difficulty in complying with a New Mexico securities related statute or rule as a consequence of the recent COVID‐19 pandemic, please contact the Securities Division, as we will endeavor to allow appropriate relief such as extensions and temporary exemptions as circumstances may warrant.
  • Additionally, the SEC and FINRA have announced regulatory relief to allow for some extensions and/or temporary exemptions. Please continue to review current announcements, press releases, etc. from these agencies. Please notify the New Mexico Securities Division if you or your firm will be utilizing any extension or temporary exemption.
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