N.M. Code R. § 12.11.7.14
Current through Register Vol. 35, No. 11, June 11, 2024
The conduct set forth in 12.11.7.13 NMAC is not exclusive. Engaging in other conduct such as nondisclosure, incomplete disclosure or deceptive practices shall be deemed an unethical business practice. The federal statutory and regulatory provisions referenced herein shall apply to investment advisers and federal covered advisers, to the extent permitted by the National Securities Markets Improvement Act of 1996 ( Pub. L. No. 104-290 ).
N.M. Code R. § 12.11.7.14