New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 2 - BROKER-DEALERS AND AGENTS
Section 12.11.2.9 - REGISTRATION FEES
Universal Citation: 12 NM Admin Code 12.11.2.9
Current through Register Vol. 35, No. 18, September 24, 2024
A. Registration fees required of broker-dealers and agents who are members of FINRA shall be paid to CRD, in accordance with FINRA instructions. Annual renewal fees shall be paid no later than December 31 of each year.
B. Registration fees required of broker-dealers and agents who are not members of the FINRA shall be paid to the division. Annual renewal fees shall be paid to the division on or before December 31 of each year.
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