N.M. Admin. Code § 12.11.5.27

Current through Register Vol. 35, No. 21, November 5, 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.

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