Form 202X "Small Offerings by Issuers With Local Operations Notice of Claim of Exemption" - New Mexico

What Is Form 202X?

This is a legal form that was released by the New Mexico Regulation & Licensing Department - a government authority operating within New Mexico. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on January 1, 2010;
  • The latest edition provided by the New Mexico Regulation & Licensing Department;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form 202X by clicking the link below or browse more documents and templates provided by the New Mexico Regulation & Licensing Department.

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Download Form 202X "Small Offerings by Issuers With Local Operations Notice of Claim of Exemption" - New Mexico

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(Rev. 01/10)
FORM X SMALL OFFERINGS BY ISSUERS WITH LOCAL OPERATIONS
NOTICE OF CLAIM OF EXMPTION
UNDER SECTION 58-13C-202X, NMSA 1978
Per New Mexico Rule 12.11.12.11 Form 202X must be filed with the division ten business days
prior to any offer of securities
TO:
DIRECTOR, SECURITIES DIVISION
STATE OF NEW MEXICO
Notice is hereby given that the undersigned Company (corporation, limited partnership, limited liability
company or limited liability partnership), claiming the exemption afforded by Section 58-13C-202X,
NMSA 1978, intends to avail itself of said exemption with respect to offers and sales of its securities
as hereinafter set forth. In support therefore, it submits the following information and exhibits:
A.
GENERAL INFORMATION
1.
Name and mailing address of Company.
2.
Type of entity (corporation, limited partnership, limited liability company, limited liability
partnership or other).
3.
Date and place of creation (incorporation, organization, filing or date of partnership
agreement).
4.
Term of entity (if applicable).
5.
Purpose or investment objective of business.
6.
Address where books and records, stock certificates or capital accounts are kept and by
whom.
7.
Name, address and telephone number of person who should be contacted about this notice.
B.
INFORMATION ABOUT THE OFFERING
1.
Type of security, number of shares or units to be offered.
2.
Offering price per share or unit.
3.
Aggregate Offering Price.
4.
Name and address of, and compensation to be received by, each person who will be effecting
or attempting to effect sales of securities.
(Rev. 01/10)
FORM X SMALL OFFERINGS BY ISSUERS WITH LOCAL OPERATIONS
NOTICE OF CLAIM OF EXMPTION
UNDER SECTION 58-13C-202X, NMSA 1978
Per New Mexico Rule 12.11.12.11 Form 202X must be filed with the division ten business days
prior to any offer of securities
TO:
DIRECTOR, SECURITIES DIVISION
STATE OF NEW MEXICO
Notice is hereby given that the undersigned Company (corporation, limited partnership, limited liability
company or limited liability partnership), claiming the exemption afforded by Section 58-13C-202X,
NMSA 1978, intends to avail itself of said exemption with respect to offers and sales of its securities
as hereinafter set forth. In support therefore, it submits the following information and exhibits:
A.
GENERAL INFORMATION
1.
Name and mailing address of Company.
2.
Type of entity (corporation, limited partnership, limited liability company, limited liability
partnership or other).
3.
Date and place of creation (incorporation, organization, filing or date of partnership
agreement).
4.
Term of entity (if applicable).
5.
Purpose or investment objective of business.
6.
Address where books and records, stock certificates or capital accounts are kept and by
whom.
7.
Name, address and telephone number of person who should be contacted about this notice.
B.
INFORMATION ABOUT THE OFFERING
1.
Type of security, number of shares or units to be offered.
2.
Offering price per share or unit.
3.
Aggregate Offering Price.
4.
Name and address of, and compensation to be received by, each person who will be effecting
or attempting to effect sales of securities.
5.
If monies from sales of securities are to be escrowed until a certain amount is raised attach a
copy of the escrow agreement showing name and address of the escrow bank.
6.
General description of use of proceeds.
7.
General description of property, including location, in which such proceeds are to be invested.
8.
Is the issuer, underwriter, or their affiliates subject to the disqualification in 12.11.12.11.C
NMAC
9.
Attach a copy of the prospectus or offering memorandum describing the offering which will be
utilized to offer the securities and comply with the disclosure requirements set forth in
12.11.12.11.E NMAC and attach a copy of all advertising or promotional literature.
C.
GOVERNING INSTRUMENTS
Attach a copy of the Articles of Incorporation, Articles of Organization, Registration of Limited
Liability Partnership, Certificate of Limited Partnership or other instruments of creation of the
Company, including all amendments.
___________________
____________________________________
Date
Name of Company
____________________________________
Signature and Title of Authorized Person
ACCEPTANCE OF THIS NOTICE FOR FILING DOES NOT CONSTITUTE ANY APPROVAL
OR RECOMMENDATION WHATSOEVER BY THE DIRECTOR OF THE NEW MEXICO
SECURITES DIVISON OF THE SECURITIES TO BE ISSUED OR SOLD.
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