"Affidavit of No Sales" - New Mexico

Affidavit of No Sales is a legal document that was released by the New Mexico Regulation & Licensing Department - a government authority operating within New Mexico.

Form Details:

  • Released on January 1, 2010;
  • The latest edition currently provided by the New Mexico Regulation & Licensing Department;
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(Rev. 1/10)
AFFIDAVIT OF NO SALES
STATE OF NEW MEXICO
I, the undersigned, __________________________________________, being first duly sworn,
upon oath state:
I am an official of the broker-dealer firm of __________________________________ (hereinafter
“Broker-dealer”) and, as such, authorized to make this affidavit on behalf of Broker-dealer.
Broker-dealer has not transacted business as a broker-dealer in New Mexico. Broker-dealer
agrees to comply with the New Mexico Uniform Securities Act and to refrain from transacting any non-
exempt business as a broker-dealer in New Mexico until such time as both Broker-dealer and agent
thereof are duly licensed by the New Mexico Securities Division.
I have executed this Affidavit in behalf of Broker-dealer after having read and understanding the
contents hereof, and with the knowledge that the representations contained herein will be verified with
Broker-dealer’s clearing broker(s).
I hereby represent that all information contained herein is true, current and complete, to the best
of my knowledge and belief.
Dated this _______ day of _______________________, __________
__________________________________
Print Broker-dealer Name
By: _______________________________
(Signature of Authorized Official)
Title: ______________________________
ACKNOWLEDGMENT
STATE OF ______________________ )
) ss.
COUNTY OF _____________________ )
On this ______ day of _________________________, _________, before me personally
appeared ____________________________, to me know to be the person described in and who
executed the foregoing instrument and acknowledged to me that he/she executed the same as his/her
free act and deed.
(Notarial seal)
___________________________________
Notary Public
My Commission expires:
_________________________
(Rev. 1/10)
AFFIDAVIT OF NO SALES
STATE OF NEW MEXICO
I, the undersigned, __________________________________________, being first duly sworn,
upon oath state:
I am an official of the broker-dealer firm of __________________________________ (hereinafter
“Broker-dealer”) and, as such, authorized to make this affidavit on behalf of Broker-dealer.
Broker-dealer has not transacted business as a broker-dealer in New Mexico. Broker-dealer
agrees to comply with the New Mexico Uniform Securities Act and to refrain from transacting any non-
exempt business as a broker-dealer in New Mexico until such time as both Broker-dealer and agent
thereof are duly licensed by the New Mexico Securities Division.
I have executed this Affidavit in behalf of Broker-dealer after having read and understanding the
contents hereof, and with the knowledge that the representations contained herein will be verified with
Broker-dealer’s clearing broker(s).
I hereby represent that all information contained herein is true, current and complete, to the best
of my knowledge and belief.
Dated this _______ day of _______________________, __________
__________________________________
Print Broker-dealer Name
By: _______________________________
(Signature of Authorized Official)
Title: ______________________________
ACKNOWLEDGMENT
STATE OF ______________________ )
) ss.
COUNTY OF _____________________ )
On this ______ day of _________________________, _________, before me personally
appeared ____________________________, to me know to be the person described in and who
executed the foregoing instrument and acknowledged to me that he/she executed the same as his/her
free act and deed.
(Notarial seal)
___________________________________
Notary Public
My Commission expires:
_________________________