New Mexico · Regulations
Part 3 — BROKER-DEALER AND AGENTS RECORDS
15 sections
15 sections
- 12.11.3.1 NMACIssuing Agency
- 12.11.3.2 NMACScope
- 12.11.3.3 NMACStatutory Authority
- 12.11.3.4 NMACDuration
- 12.11.3.5 NMACEffective Date
- 12.11.3.6 NMACObjective
- 12.11.3.7 NMACDefinitions
- 12.11.3.8 NMACBroker-Dealers Required By Federal Law To Keep Records
- 12.11.3.9 NMACBroker-Dealers Records
- 12.11.3.10 NMACBroker-Dealers Preservation Of Records
- 12.11.3.11 NMACBroker-Dealer Branch Office Records
- 12.11.3.12 NMACBroker-Dealer Preservation Of Branch Office Records
- 12.11.3.13 NMACRecords Of Clearing Broker-Dealer
- 12.11.3.14 NMACDirector May Order Exemption
- 12.11.3.15 NMACAgent Records