N.M. Code R. § 12.11.13.13

Current through Register Vol. 35, No. 11, June 11, 2024

Section 12.11.13.13 - KNOW-YOUR-CUSTOMER STANDARDS

Nothing in this rule is intended to relieve registered broker-dealers or agents from the due diligence, suitability, or know-your-customer standards or any other requirements of law otherwise applicable to such registered persons.

N.M. Code R. § 12.11.13.13

12.11.13.13 NMAC - Rp, 12 NMAC 11.4.7.2.11.4.3, 1-1-2010