Statutes, codes, and regulations
New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKINGChapter 11 - SECURITIES
Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
Section 12.11.5.27 - WITHDRAWAL OF REGISTRATION

N.M. Code R. § 12.11.5.27

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Current through Register Vol. 35, No. 11, June 11, 2024
Section 12.11.5.27 - WITHDRAWAL OF REGISTRATION
A. An application for withdrawal of the registration of an investment adviser, registered under the New Mexico Uniform Securities Act, shall be filed by the registrant on form ADV-W and shall include a report on the status of all customer accounts of the registrant in this state and any additional information the director may require.
B. An application for withdrawal of the registration of an investment adviser representative, registered under the New Mexico Uniform Securities Act, shall be filed with the director on form U-5 by the investment adviser within 15 days of the termination of the representative's employment.

N.M. Code R. § 12.11.5.27

12.11.5.27 NMAC - Rp, 12.11.5.23 NMAC, 1-1-2010