New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 3 - BROKER-DEALER AND AGENTS RECORDS
Section 12.11.3.14 - DIRECTOR MAY ORDER EXEMPTION
Universal Citation: 12 NM Admin Code 12.11.3.14
Current through Register Vol. 35, No. 18, September 24, 2024
The director may by order exempt any broker-dealer from all or part of the requirements of this part, either unconditionally or upon specified conditions, if by reason of the special nature of its business, the director finds the issuance of the order is necessary or appropriate in the public interest or for the protection of investors.
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