New Mexico · Regulations
Chapter 11 — SECURITIES
253 sections
18 groups
- Part 1 — GENERAL PROVISIONS12 sections
- Part 2 — BROKER-DEALERS AND AGENTS22 sections
- Part 3 — BROKER-DEALER AND AGENTS RECORDS15 sections
- Part 4 — BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED15 sections
- Part 5 — INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND26 sections
- Part 6 — INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES11 sections
- Part 7 — INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES12 sections
- Part 8 — REGISTRATION OF SECURITIES - GENERAL PROVISIONS11 sections
- Part 9 — STANDARDS APPLICABLE TO REGISTERED OFFERINGS17 sections
- Part 10 — SMALL COMPANY OFFERING REGISTRATION (SCOR)21 sections
- Part 11 — EXEMPT SECURITIES8 sections
- Part 12 — EXEMPT TRANSACTIONS18 sections
- Part 13 — UNIFORM LIMITED OFFERING EXEMPTION17 sections
- Part 14 — NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES10 sections
- Part 15 — FRAUDULENT PRACTICES14 sections
- Part 16 — FORMS9 sections
- Part 17 — USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL8 sections
- Part 18 — TRAINING AND REPORTING GUIDELINES UNDER THE PROTECTING7 sections