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 12.11.4.14 - BROKER-DEALER ASSOCIATION WITH A DEPOSITORY INSTITUTION
Universal Citation: 12 NM Admin Code 12.11.4.14
Current through Register Vol. 35, No. 18, September 24, 2024
No broker-dealer may associate with a depository institution by contract, agreement or other means unless promotional and account-establishing functions are performed or supervised by persons registered as agents representing the broker-dealer.
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