New Mexico · Regulations
Part 5 — INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND
26 sections
26 sections
- 12.11.5.1 NMACIssuing Agency
- 12.11.5.2 NMACScope
- 12.11.5.3 NMACStatutory Authority
- 12.11.5.4 NMACDuration
- 12.11.5.5 NMACEffective Date
- 12.11.5.6 NMACObjective
- 12.11.5.7 NMACDefinitions
- 12.11.5.8 NMACElectronic Filing With Designated Entity
- 12.11.5.9 NMACApplication For Investment Adviser Registration
- 12.11.5.10 NMACApplication For Investment Adviser Representative Registration
- 12.11.5.12 NMACInvestment Adviser Brochure Rule
- 12.11.5.13 NMACTermination, Transfer And Withdrawal
- 12.11.5.14 NMACExamination Requirements
- 12.11.5.15 NMACLimited Registration
- 12.11.5.16 NMACExamination Requirements Waiver
- 12.11.5.17 NMACProfessional Designation Waivers
- 12.11.5.18 NMACExamination Requirements - Principal
- 12.11.5.19 NMACLimited Registration
- 12.11.5.20 NMACSolicitors
- 12.11.5.21 NMACNot Completed And Withdrawn Applications
- 12.11.5.22 NMACCustody Of Client Funds Or Securities By Investment Advisers
- 12.11.5.23 NMACMinimum Financial Requirements For Investment Advisers
- 12.11.5.25 NMACReporting Requirements
- 12.11.5.26 NMACDenial, Suspension And Revocation
- 12.11.5.27 NMACWithdrawal Of Registration
- 12.11.5.28 NMACBranch Office Supervisory Requirements