Statutes, codes, and regulations
New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKINGChapter 11 - SECURITIES
Part 3 - BROKER-DEALER AND AGENTS RECORDS
Section 12.11.3.13 - RECORDS OF CLEARING BROKER-DEALER

N.M. Admin. Code § 12.11.3.13

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Current through Register Vol. 35, No. 21, November 5, 2024
Section 12.11.3.13 - RECORDS OF CLEARING BROKER-DEALER

This part does not require a registered broker-dealer to make and keep such records of transactions cleared for the registrant by another registered broker-dealer as are customarily made and kept by the clearing broker-dealer.

N.M. Admin. Code § 12.11.3.13

12.11.3.13 NMAC - Rp, 12 NMAC 11.2.6.6, 1-1-2010