New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
- Section 12.11.5.1 - ISSUING AGENCY
- Section 12.11.5.2 - SCOPE
- Section 12.11.5.3 - STATUTORY AUTHORITY
- Section 12.11.5.4 - DURATION
- Section 12.11.5.5 - EFFECTIVE DATE
- Section 12.11.5.6 - OBJECTIVE
- Section 12.11.5.7 - DEFINITIONS
- Section 12.11.5.8 - ELECTRONIC FILING WITH DESIGNATED ENTITY
- Section 12.11.5.9 - APPLICATION FOR INVESTMENT ADVISER REGISTRATION
- Section 12.11.5.10 - APPLICATION FOR INVESTMENT ADVISER REPRESENTATIVE REGISTRATION
- Section 12.11.5.11 - NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED INVESTMENT ADVISERS
- Section 12.11.5.12 - INVESTMENT ADVISER BROCHURE RULE
- Section 12.11.5.13 - TERMINATION, TRANSFER AND WITHDRAWAL
- Section 12.11.5.14 - EXAMINATION REQUIREMENTS
- Section 12.11.5.15 - LIMITED REGISTRATION
- Section 12.11.5.16 - EXAMINATION REQUIREMENTS WAIVER
- Section 12.11.5.17 - PROFESSIONAL DESIGNATION WAIVERS
- Section 12.11.5.18 - EXAMINATION REQUIREMENTS - PRINCIPAL
- Section 12.11.5.19 - LIMITED REGISTRATION
- Section 12.11.5.20 - SOLICITORS
- Section 12.11.5.21 - NOT COMPLETED AND WITHDRAWN APPLICATIONS
- Section 12.11.5.22 - CUSTODY OF CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERS
- Section 12.11.5.23 - MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS
- Section 12.11.5.24 - USE OF THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ON PRODUCTS AND SERVICES
- Section 12.11.5.25 - REPORTING REQUIREMENTS
- Section 12.11.5.26 - DENIAL, SUSPENSION AND REVOCATION
- Section 12.11.5.27 - WITHDRAWAL OF REGISTRATION
- Section 12.11.5.28 - BRANCH OFFICE SUPERVISORY REQUIREMENTS
Current through Register Vol. 35, No. 18, September 24, 2024
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