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New Mexico Administrative Code
Title 12
Chapter 11
Part 5
Investment Advisers, Investment Adviser Representatives and
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
Electronic Filing with Designated Entity
9
Application for Investment Adviser Registration
10
Application for Investment Adviser Representative Registration
11
Notice Filing Requirements for Federal Covered Investment Advisers
12
Investment Adviser Brochure Rule
13
Termination, Transfer and Withdrawal
14
Examination Requirements
15
Limited Registration
16
Examination Requirements Waiver
17
Professional Designation Waivers
18
Examination Requirements - Principal
19
Limited Registration
20
Solicitors
21
Not Completed and Withdrawn Applications
22
Custody of Client Funds or Securities by Investment Advisers
23
Minimum Financial Requirements for Investment Advisers
24
Use of the Internet for General Dissemination of Information on Products and Services
25
Reporting Requirements
26
Denial, Suspension and Revocation
27
Withdrawal of Registration
28
Branch Office Supervisory Requirements