Forms and Fees

Registrations and Exemptions
Form U-1	Uniform Application to Register Securities for registrations by qualification or coordination	1/10 of 1% of aggregated amount of securities to be offered in NM. $525 minimum $2,500 maximum.
Form U-2	Uniform Consent to Service of Process	None
Form U-2A	Uniform Corporate Resolution	None
Form 202N	Sales to Ten or Fewer Purchasers	None
Form 202X	Small Offerings by Issuers with Local Operations	$350
Form 202Y	Limited Offering	None
Accredited Investor	Accredited Investor Notice of Exemption	$350
Uniform Reg A – Tier 2 Filing Form	Filing for Reg A+ (tier 2)	$350

Notice Filings
Contact NM Securities Division	Mutual Funds Federal Notice Filing Fee and Renewals	$525
“	Unit Investment Trust Federal Notice Filing Fee	$200
“	Amendment to change name of issuer	$50

New Mexico Securities Division requires issuers to file notices and payments via EFD (Electronic Filing Depository)

Please see Order Mandating Use of EFD System, and Use of Electronic Filing of Fees.

Regulation D, Rule 506 (b)	Filing Requirement: Filing Fee:	Notice filings shall be made via the Electronic Funds Depository System (EFD) within 15 days after the first sale of the security in New Mexico. If you are not automatically directed to the EFD website, the information for accessing them is listed below. https://www.efdnasaa.org/ Here is the contact information for any filers seeking help setting up on EFD support@efdnasaa.org support number is 601-453-1979 Timely filing – The fee is $350 for on-time filing. Late filing – If the notice filing is late but within 10 days after the due date, the 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 $1,050. EFD will calculate the fee that is due on the filing.
Regulation D, Rule 506 (c)	Filing Requirement: Filing Fee:	Notice filings shall be made via the Electronic Funds Depository System (EFD) within 15 days after the first sale of the security in New Mexico. If you are not automatically directed to the EFD website, the information for accessing them is listed below. https://www.efdnasaa.org/ Here is the contact information for any filers seeking help setting up on EFD support@efdnasaa.org support number is 601-453-1979 Timely filing – The fee is $350 for on-time filing. Late filing – If the notice filing is late but within 10 days after the due date, the 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 $1,050. EFD will calculate the fee that is due on the filing.

Miscellaneous Fees
Interpretive Opinion	$300
No Action Letter	$300
Audit/Examination Fee	$100 per day plus actual costs of transportation and lodging where applicable.