N.M. Code R. § 12.11.18.2

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

Section 12.11.18.2 - SCOPE

All persons, whether natural or legal entities, that transact business in New Mexico as a broker-dealer, an agent, an investment advisor, an investment adviser representative, or who serve in a supervisory, compliance or legal capacity for a broker-dealer or investment adviser.

N.M. Code R. § 12.11.18.2

Adopted by New Mexico Register, Volume XXIX, Issue 17, September 11, 2018, eff. 9/11/2018