New Mexico · Regulations
Part 7 — INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
12 sections
12 sections
- 12.11.7.1 NMACIssuing Agency
- 12.11.7.2 NMACScope
- 12.11.7.3 NMACStatutory Authority
- 12.11.7.4 NMACDuration
- 12.11.7.5 NMACEffective Date
- 12.11.7.6 NMACObjective
- 12.11.7.7 NMACDefinitions
- 12.11.7.9 NMACContract Waiving Rights Prohibited
- 12.11.7.10 NMACWritten Contract Required
- 12.11.7.12 NMACProhibited Business Practices By Federal Covered Advisers
- 12.11.7.13 NMACProhibited Business Practices By Investment Advisers
- 12.11.7.14 NMACProhibited Business Practices Listed Are Not Exclusive