Collections
New Mexico Administrative Code
Title 12
Chapter 11
Part 2
Broker-dealers and Agents
State of New Mexico
Learn More
Log In
Sign Up
1
Issuing Agency
2
Scope
3
Statutory Authority
4
Duration
5
Effective Date
6
Objective
7
Definitions
8
Applications for Registration
9
Registration Fees
10
Examination Requirements - Agents
11
Examination Requirements Waiver
12
Examination Requirements - Principal
13
Not Completed and Withdrawn Applications
14
Automatic Effectiveness
15
Section 202K Exemption
16
Issuer Agents - Scor Offerings
17
Canadian Broker-dealers and Sales Representatives Exemption
18
Net Capital Requirements and Aggregate Indebtedness Limitations
19
Fidelity Bonds
20
Use of Internet for General Dissemination of Information on Products and Services
21
Reporting Requirements
22
Filing Documents with the Director
23
Denial, Suspension and Revocation
24
Branch Office Supervisory Requirements