N.M. Admin. Code tit. 12, ch. 11, pt. 3 - BROKER-DEALER AND AGENTS RECORDS

  1. § 12.11.3.1 - ISSUING AGENCY
  2. § 12.11.3.2 - SCOPE
  3. § 12.11.3.3 - STATUTORY AUTHORITY
  4. § 12.11.3.4 - DURATION
  5. § 12.11.3.5 - EFFECTIVE DATE
  6. § 12.11.3.6 - OBJECTIVE
  7. § 12.11.3.7 - DEFINITIONS
  8. § 12.11.3.8 - BROKER-DEALERS REQUIRED BY FEDERAL LAW TO KEEP RECORDS
  9. § 12.11.3.9 - BROKER-DEALERS RECORDS
  10. § 12.11.3.10 - BROKER-DEALERS PRESERVATION OF RECORDS
  11. § 12.11.3.11 - BROKER-DEALER BRANCH OFFICE RECORDS
  12. § 12.11.3.12 - BROKER-DEALER PRESERVATION OF BRANCH OFFICE RECORDS
  13. § 12.11.3.13 - RECORDS OF CLEARING BROKER-DEALER
  14. § 12.11.3.14 - DIRECTOR MAY ORDER EXEMPTION
  15. § 12.11.3.15 - AGENT RECORDS

Notes

N.M. Admin. Code tit. 12, ch. 11, pt. 3
HISTORY OF 12.11.3 NMAC:
Pre-NMAC History: Material in this part was derived from that previously filed with the commission of public records - state records center and archives:
FID 67-1, Regulation 67-62, General Requirements, filed 5-18-67.
FID 76-1, Order 76-64, Regulation 76-1, Relating to Options Clearing Corporations, filed 3-26-76.
SD Rule 84-1, New Mexico Blue Sky Regulations, filed 9-5-84.
SB Rule 86-3.03, Broker-Dealers' Records, filed 7-11-86.
SB Rule 86-3.04, Sales Representatives Records, filed 7-11-86.
History of Repealed Material:
12 NMAC 11.2 Subpart 6, Broker-Dealer Records and 12 NMAC 11.2 Subpart 7, Sales Representatives Records (filed 4-19-99) repealed 1-1-2010.
Other History:
SB Rule 86-3.03, Broker-Dealers' Records (filed 7-11-86) and SB Rule 86-3.04, Sales Representatives Records (filed 7-11-86) were renumbered into first version of the New Mexico Administrative Code as 12 NMAC 11.2, Broker-Dealers and Sales Representatives, effective 5-1-99.
Those relevant portions of 12 NMAC 11.2, Subpart 6, Broker-Dealer Records and Subpart 7, Sales Representative Records (filed 4-19-99) were renumbered, reformatted and replaced by 12.11.3 NMAC, Broker-Dealer and Agents Records, effective 1-1-2010.

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