new mexico regulation and licensing department logo
new mexico regulation and licensing department logo

News and Announcements

  1. Home
  2. Securities Division
  3. About Us
  4. News and Announcements
Explore Section

Securities: News and Announcements

12/3/2024 – Securities Division Authorizes Remote Audits by Broker-Dealers of Single Agent Branch Offices for 2025
4/10/2024 – New Mexico Securities Division settles with cryptocurrency platform, Abra
4/3/2024 – New Mexico Securities Division highlights proactive investor protection tips for Financial Capability Month
3/12/2024 – New Mexico Securities Division Joins $1.5 Million Multistate Securities Settlement Against Crypto Platform, TradeStation
2/8/2024 – New Mexico Securities Division issues romance scam alert for online dating
12/20/2023 – New Mexico Securities Division alerting seniors and other vulnerable populations about “pig butchering” financial scam
12/6/2023 – Order Authorizing Remote Audits by BDs of a Single Agent Branch Offices for 2024 Annual Audits
10/27/2023 – New Mexico Securities Division, CFTC, and 29 Other State Regulators Reach Settlement with Precious Metals Dealer, Safeguard Metals
4/14/2023 – State to receive an estimated $425,500 in settlement agreement regarding unregistered securities
3/16/2022 – Securities Division Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine
12/20/2022 – Securities Division Authorizes Remote Audits by Broker-Dealers of Single Agent Branch Offices for 2023
2/14/2022 – New Mexico Joins with 32 Other States and SEC to announce $100 Million Settlement with BlockFi
2/1/2022 – Securities Division Partners with CFTC and 26 State Securities Regulators to Stop $68 Million Precious Metals Scheme that Targeted the Elderly
12/9/2021 – Securities Division Authorizes Remote Audits by Broker-Dealers of Singe Agent Branch Offices for 2022
4/1/2021 - Increase in Reg A Offering Limits
&
2/8/2021 - All Together New Mexico: COVID-Safe Practices for Individuals and Employers
2/1/2021 - Securities Division Reminds Regulated Firms of Customer Obligations and Investors about Risk of Stock Price Volatility
1/8/2021 - Securities Division Reminds Firms to Contact Regulators with Issues Related to Solarwinds Breach
12/31/2020 - Extension of Time Granting Temporary Relief to Registrants
11/16/2020 - New Mexico Outlines Opposition to SEC’s Recently Proposed Broker-Dealer Exemption
10/26/2020 - Trio Convicted of Defrauding Investors in Medical Marijuana Investment Scheme
10/21/2020 - Extension of Time Granting Temporary Relief to Registrants
9/30/2020 - $185 Million Scheme Targeting Elderly Investors
9/7/2020 Securities Division Enters into Administrative Consent Order with Solium Financial Services LLC
8/24/2020 - Amended Order Granting Temporary Relief to Registrants
3/9/2020 - Order Authorizing Branch Office Remote Inspections 2021
3/3/2020 - 06 Second Amended Order Granting Temp Relief Due to COVID-19 Outbreak
Skip to content