New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 15 - FRAUDULENT PRACTICES
Section 12.11.15.11 - BROKER-DEALER ACTIVITIES
Universal Citation: 12 NM Admin Code 12.11.15.11
Current through Register Vol. 35, No. 18, September 24, 2024
The terms "device, scheme or artifice to defraud" within the meaning of Subsection A of Section 58-13C-501 of the New Mexico Uniform Securities Act and "an act, practice or course of business that operates or would operate as a fraud or deceit upon another person" within the meaning of Section 58-13C-501 C are defined to include the failure to comply with the requirements of 17 C.F.R. 240.15(g), as well as the activities described in 17 C.F.R. 240.15(c)1 - 1 through 240.15(c)1 - 9.
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