New Mexico · Regulations
Part 4 — BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED
15 sections
15 sections
- 12.11.4.1 NMACIssuing Agency
- 12.11.4.2 NMACScope
- 12.11.4.3 NMACStatutory Authority
- 12.11.4.4 NMACDuration
- 12.11.4.5 NMACEffective Date
- 12.11.4.6 NMACObjective
- 12.11.4.7 NMACDefinitions
- 12.11.4.8 NMACWritten Confirmations
- 12.11.4.10 NMACWritten Supervisory Procedures
- 12.11.4.11 NMACContract Waiving Rights Prohibited
- 12.11.4.12 NMACNet Worth Withdrawals Prohibited
- 12.11.4.13 NMACCustomer Copies Of Contracts
- 12.11.4.14 NMACBroker-Dealer Association With A Depository Institution
- 12.11.4.15 NMACProhibited Business Practices By Broker-Dealers
- 12.11.4.16 NMACProhibited Business Practices By Agents