N.M. Code R. § 12.11.3.8
Current through Register Vol. 35, No. 11, June 11, 2024
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. Code R. § 12.11.3.8