New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 3 - BROKER-DEALER AND AGENTS RECORDS
Section 12.11.3.13 - RECORDS OF CLEARING BROKER-DEALER
Universal Citation: 12 NM Admin Code 12.11.3.13
Current through Register Vol. 35, No. 18, September 24, 2024
This part does not require a registered broker-dealer to make and keep such records of transactions cleared for the registrant by another registered broker-dealer as are customarily made and kept by the clearing broker-dealer.
Disclaimer: These regulations may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
