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New Mexico Administrative Code
Title 12
Chapter 11
Part 4
Broker-dealer and Agents Rules of Conduct and Prohibited
State of New Mexico
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1
Issuing Agency
2
Scope
3
Statutory Authority
4
Duration
5
Effective Date
6
Objective
7
Definitions
8
Written Confirmations
9
COMPLIANCE WITH RULE 10b-10
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