Statutes, codes, and regulations
New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKINGChapter 11 - SECURITIES
Part 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
Section 12.11.4.14 - BROKER-DEALER ASSOCIATION WITH A DEPOSITORY INSTITUTION

N.M. Code R. § 12.11.4.14

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Current through Register Vol. 35, No. 11, June 11, 2024
Section 12.11.4.14 - BROKER-DEALER ASSOCIATION WITH A DEPOSITORY INSTITUTION

No broker-dealer may associate with a depository institution by contract, agreement or other means unless promotional and account-establishing functions are performed or supervised by persons registered as agents representing the broker-dealer.

N.M. Code R. § 12.11.4.14

12.11.4.14 NMAC - Rp, 12.11.4.14 NMAC, 1-1-2010