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Securities | Midpage
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New Mexico Administrative Code
Title 12
Chapter 11
Securities
State of New Mexico
1
General Provisions
2
Broker-dealers and Agents
3
Broker-dealer and Agents Records
4
Broker-dealer and Agents Rules of Conduct and Prohibited
5
Investment Advisers, Investment Adviser Representatives and
6
Investment Advisers and Investment Adviser Representatives
7
Investment Advisers and Investment Adviser Representatives
8
Registration of Securities - General Provisions
9
Standards Applicable to Registered Offerings
10
Small Company Offering Registration (Scor)
11
Exempt Securities
12
Exempt Transactions
13
Uniform Limited Offering Exemption
14
Notice Filings for Offerings of Covered Securities
15
Fraudulent Practices
16
Forms
17
Use of Senior-specific Certifications and Professional
18
Training and Reporting Guidelines under the Protecting