Learn More
Log In
Sign Up
Broker-dealer and Agents Rules of Conduct and Prohibited | Midpage
Collections
New Mexico Administrative Code
Title 12
Chapter 11
Part 4
Broker-dealer and Agents Rules of Conduct and Prohibited
State of New Mexico
1
Issuing Agency
2
Scope
3
Statutory Authority
4
Duration
5
Effective Date
6
Objective
7
Definitions
8
Written Confirmations
9
N.M. Code R. § 12.11.4.9
10
Written Supervisory Procedures
11
Contract Waiving Rights Prohibited
12
Net Worth Withdrawals Prohibited
13
Customer Copies of Contracts
14
Broker-dealer Association with a Depository Institution
15
Prohibited Business Practices by Broker-dealers
16
Prohibited Business Practices by Agents