N.M. Code R. § 12.11.15.11
Current through Register Vol. 35, No. 11, June 11, 2024
The terms "device, scheme or artifice to defraud" within the meaning of Subsection A of Section 58-13C-501 of the New Mexico Uniform Securities Act and "an act, practice or course of business that operates or would operate as a fraud or deceit upon another person" within the meaning of Section 58-13C-501 C are defined to include the failure to comply with the requirements of 17 C.F.R. 240.15(g), as well as the activities described in 17 C.F.R. 240.15(c)1 - 1 through 240.15(c)1 - 9.
N.M. Code R. § 12.11.15.11