N.M. Admin. Code § 12.11.4.13
Current through Register Vol. 35, No. 21, November 5, 2024
Each broker-dealer shall provide each customer with a conformed copy of all contracts or agreements between the broker-dealer and the customer, and a copy of the customer information forms prescribed under Subsections J and K of 12.11.3.9 NMAC, not later than 15 days after the initial securities transaction effected in the customer's account.
N.M. Admin. Code § 12.11.4.13