New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 2 - BROKER-DEALERS AND AGENTS
- Section 12.11.2.1 - ISSUING AGENCY
- Section 12.11.2.2 - SCOPE
- Section 12.11.2.3 - STATUTORY AUTHORITY
- Section 12.11.2.4 - DURATION
- Section 12.11.2.5 - EFFECTIVE DATE
- Section 12.11.2.6 - OBJECTIVE
- Section 12.11.2.7 - DEFINITIONS
- Section 12.11.2.8 - APPLICATIONS FOR REGISTRATION
- Section 12.11.2.9 - REGISTRATION FEES
- Section 12.11.2.10 - EXAMINATION REQUIREMENTS - AGENTS
- Section 12.11.2.11 - EXAMINATION REQUIREMENTS WAIVER
- Section 12.11.2.12 - EXAMINATION REQUIREMENTS - PRINCIPAL
- Section 12.11.2.13 - NOT COMPLETED AND WITHDRAWN APPLICATIONS
- Section 12.11.2.14 - AUTOMATIC EFFECTIVENESS
- Section 12.11.2.15 - SECTION 202K EXEMPTION
- Section 12.11.2.16 - ISSUER AGENTS - SCOR OFFERINGS
- Section 12.11.2.17 - CANADIAN BROKER-DEALERS AND SALES REPRESENTATIVES EXEMPTION
- Section 12.11.2.18 - NET CAPITAL REQUIREMENTS AND AGGREGATE INDEBTEDNESS LIMITATIONS
- Section 12.11.2.19 - FIDELITY BONDS
- Section 12.11.2.20 - USE OF INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ON PRODUCTS AND SERVICES
- Section 12.11.2.21 - REPORTING REQUIREMENTS
- Section 12.11.2.22 - FILING DOCUMENTS WITH THE DIRECTOR
- Section 12.11.2.23 - DENIAL, SUSPENSION AND REVOCATION
- Section 12.11.2.24 - BRANCH OFFICE SUPERVISORY REQUIREMENTS
Current through Register Vol. 35, No. 18, September 24, 2024
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