New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 3 - BROKER-DEALER AND AGENTS RECORDS
Section 12.11.3.15 - AGENT RECORDS
Current through Register Vol. 35, No. 18, September 24, 2024
Every registered agent shall have and keep current the following records relating to customer securities transactions, unless the director by order exempts an agent from all or part of the requirements of this part:
A. the customer information form as set forth in Subsection J of 12.11.3.9 NMAC;
B. a securities holding record for each customer including the customer's name, address, telephone number, age, occupation, investment objectives and a chronological listing of the names and amount of all securities purchased or sold for the account of the customer, including the date of each transaction, and the unit purchase or sale price; and
C. the record requirements may not be satisfied by maintaining a file of confirmations unless permitted by order of the director.
