New Mexico · Regulations
Part 2 — BROKER-DEALERS AND AGENTS
22 sections
22 sections
- 12.11.2.1 NMACIssuing Agency
- 12.11.2.2 NMACScope
- 12.11.2.3 NMACStatutory Authority
- 12.11.2.4 NMACDuration
- 12.11.2.5 NMACEffective Date
- 12.11.2.6 NMACObjective
- 12.11.2.7 NMACDefinitions
- 12.11.2.8 NMACApplications For Registration
- 12.11.2.9 NMACRegistration Fees
- 12.11.2.10 NMACExamination Requirements - Agents
- 12.11.2.11 NMACExamination Requirements Waiver
- 12.11.2.12 NMACExamination Requirements - Principal
- 12.11.2.13 NMACNot Completed And Withdrawn Applications
- 12.11.2.14 NMACAutomatic Effectiveness
- 12.11.2.15 NMACSection 202K Exemption
- 12.11.2.16 NMACIssuer Agents - Scor Offerings
- 12.11.2.17 NMACCanadian Broker-Dealers And Sales Representatives Exemption
- 12.11.2.19 NMACNmac
- 12.11.2.21 NMACReporting Requirements
- 12.11.2.22 NMACFiling Documents With The Director
- 12.11.2.23 NMACDenial, Suspension And Revocation
- 12.11.2.24 NMACBranch Office Supervisory Requirements