Every registered broker-dealer subject to the Securities Exchange Act of 1934 (“the 1934 Act”) and which is a member of a self-regulatory organization shall prepare and keep current the records required by the 1934 Act and the appropriate self-regulatory organization.

[12.11.3.8 NMAC - Rp, 12 NMAC 11.2.6.1, 1-1-2010]