New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
- Part 1 - GENERAL PROVISIONS
- Part 2 - BROKER-DEALERS AND AGENTS
- Part 3 - BROKER-DEALER AND AGENTS RECORDS
- Part 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
- Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
- Part 6 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RECORDS
- Part 7 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
- Part 8 - REGISTRATION OF SECURITIES - GENERAL PROVISIONS
- Part 9 - STANDARDS APPLICABLE TO REGISTERED OFFERINGS
- Part 10 - SMALL COMPANY OFFERING REGISTRATION (SCOR)
- Part 11 - EXEMPT SECURITIES
- Part 12 - EXEMPT TRANSACTIONS
- Part 13 - UNIFORM LIMITED OFFERING EXEMPTION
- Part 14 - NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES
- Part 15 - FRAUDULENT PRACTICES
- Part 16 - FORMS
- Part 17 - USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS
- Part 18 - TRAINING AND REPORTING GUIDELINES UNDER THE PROTECTING VULNERABLE ADULTS FROM FINANCIAL EXPLOITATION ACT
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