Investment Adviser Affidavit Form. This is a New Mexico form and can be use in Securities Statewide.
Tags: Investment Adviser Affidavit, New Mexico Statewide, Securities
COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : (Rev. 11/98) Index No. Calendar No. : JUDICIAL Plaintiff(s) INVESTMENT ADVISER AFFIDAVIT STATE OF NEW MEXICO -against: SUBPOENA I, the undersigned, ___________________________________________, being first duly sworn, : upon oath state: : I am an official of the investment adviser firm of __________________________ (hereinafter “Investment Adviser”) and, as such, authorized to make this affidavit on behalf of Investment Adviser. Defendant(s) : ...................................................... I am familiar with Rule 12 NMAC 220.127.116.11.1, which defines “branch offices” to include any place of business in the State of New Mexico of one or more licensed agents; Rule 12 NMAC 18.104.22.168, which requires written notice to the Director if opening or closing any branch office in the State of New Mexico or replacing any designated principal or supervisor of any such branch (considered “material changes”); and THE PEOPLE OF 22.214.171.124 which requires YORK Rule 12 NMAC THE STATE OF NEW a designated principal be employed at the main office and a designated supervisor be employed at each branch office in New Mexico, except for single-representative TO offices meeting the requirements of Rule 12 NMAC 126.96.36.199.1. Investment Adviser will comply with all provisions of the Act and the Rules thereunder, including the provisions cited in the previous paragraph. GREETINGS: I have executed this Affidavit in behalf of Investment Adviser after having read and understanding the contents hereof. WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before , the Honorable at the Court I hereby represent that all information contained herein is true, current and complete, to the best located at County knowledge and belief. of of my in room , on the day of , 20 , at o'clock in the noon, and at any recessed Dated this testify and give evidence as a witness in this action on the or adjourned date, to_____ day of ________________________, _________. part of the _____________________________________________ (Print as a contempt of court and Your failure to comply with this subpoena is punishable Investment Adviser Name) will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a (SEAL) By: __________________________________________ result of your failure to comply. (Signature of Authorized Official) Witness, Honorable Court in County, Title: ________________________________________ , one of the Justices of the day of , 20 ACKNOWLEDGMENT STATE OF ____________________________ ) ) ss. COUNTY OF __________________________ ) (Attorney must sign above and type name below) Attorney(s) for On this ____ day of ________________________, _____, before me personally appeared _______________________, to me known 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) My Commission expires: _________________________ ______________________________________ Office and P.O. Address Notary Public Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com