New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
Section 12.11.4.11 - CONTRACT WAIVING RIGHTS PROHIBITED
Universal Citation: 12 NM Admin Code 12.11.4.11
Current through Register Vol. 35, No. 18, September 24, 2024
A broker-dealer shall not enter into any contract with a customer if the contract contains any condition, stipulation or provision binding the customer to waive any rights under the New Mexico Uniform Securities Act or any rule or order thereunder. Any such condition, stipulation or provision is void.
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