N.M. Admin. Code § 12.11.3.8

Current through Register Vol. 35, No. 23, December 10, 2024

Section 12.11.3.8 - BROKER-DEALERS REQUIRED BY FEDERAL LAW TO KEEP RECORDS

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.

N.M. Admin. Code § 12.11.3.8

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