New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 13 - UNIFORM LIMITED OFFERING EXEMPTION
Section 12.11.13.13 - KNOW-YOUR-CUSTOMER STANDARDS
Universal Citation: 12 NM Admin Code 12.11.13.13
Current through Register Vol. 35, No. 18, September 24, 2024
Nothing in this rule is intended to relieve registered broker-dealers or agents from the due diligence, suitability, or know-your-customer standards or any other requirements of law otherwise applicable to such registered persons.
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