New Mexico Administrative Code
Title 2 - PUBLIC FINANCE
Chapter 60 - INVESTMENT AND DEPOSIT OF PUBLIC FUNDS
Part 14 - BROKER POLICY
Section 2.60.14.8 - GENERAL REQUIREMENTS FOR INSTITUTIONAL BROKER/DEALERS

Universal Citation: 2 NM Admin Code 2.60.14.8

Current through Register Vol. 35, No. 18, September 24, 2024

A. Trading must be done either with the New York trading desk or a regional office with direct lines into the New York trading desk.

B. Sales/research coverage must be provided by institutional salespersons that report to the institutional department.

C. Brokers must provide access to all research information disseminated by the firm, including the ability to access the information electronically.

D. Brokers must provide access to research conference calls of interest to the staff.

E. Brokers must provide ability for staff to talk directly with their institutional analysts, strategists, and economists on a periodic basis. In addition, brokers are expected to arrange for periodic basis. In addition, brokers are expected to arrange for periodic face-to-face meeting in Santa Fe with their research staff.

Disclaimer: These regulations may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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