12.11.4.14 NMAC

Broker-Dealer Association With A Depository Institution

Last amended: 2010Year: 2026Length: 33 wordsOfficial source
No broker- dealer may associate with a depository institution by contract, agreement or other means unless promotional and account-establishing functions are performed or supervised by persons registered as agents representing the broker- dealer.
12.11.4.14 NMAC: Broker-Dealer Association With A Depository Institution | Justis AI