N.M. Admin. Code tit. 12, ch. 11, pt. 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES

  1. § 12.11.4.1 - ISSUING AGENCY
  2. § 12.11.4.2 - SCOPE
  3. § 12.11.4.3 - STATUTORY AUTHORITY
  4. § 12.11.4.4 - DURATION
  5. § 12.11.4.5 - EFFECTIVE DATE
  6. § 12.11.4.6 - OBJECTIVE
  7. § 12.11.4.7 - DEFINITIONS
  8. § 12.11.4.8 - WRITTEN CONFIRMATIONS
  9. § 12.11.4.9 - COMPLIANCE WITH RULE 10b-10
  10. § 12.11.4.10 - WRITTEN SUPERVISORY PROCEDURES
  11. § 12.11.4.11 - CONTRACT WAIVING RIGHTS PROHIBITED
  12. § 12.11.4.12 - NET WORTH WITHDRAWALS PROHIBITED
  13. § 12.11.4.13 - CUSTOMER COPIES OF CONTRACTS
  14. § 12.11.4.14 - BROKER-DEALER ASSOCIATION WITH A DEPOSITORY INSTITUTION
  15. § 12.11.4.15 - PROHIBITED BUSINESS PRACTICES BY BROKER-DEALERS
  16. § 12.11.4.16 - PROHIBITED BUSINESS PRACTICES BY AGENTS

Notes

N.M. Admin. Code tit. 12, ch. 11, pt. 4
HISTORY OF 12.11.4 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, 5-18-67
FID 76-1, Order 76-64, Regulation 76-1, Relating to Options Clearing Corporations, 3-26-76
SB Rule 84-1, New Mexico Blue Sky Regulations, 9-5-84
SD Rule 86-3.08, Rules of Conduct, 7-1-86
SD Rule 95-3.08, Rules of Conduct, 10-14-95
SD Rule 86-3.09, Prohibited Business Practices, 7-1-86
History of Repealed Material:
12.11.4 NMAC, Broker Dealer and Sales Representatives Rules of Conduct and Prohibited Business Practices (filed 12-9-2008) repealed 1-1-2010.
Other History:
That relevant portion of SD Rule 95-3.08, Rules of Conduct, filed 9-27-95; and SD Rule 86-3.09, Prohibited Business Practices, filed 7-11-86 were renumbered into first version of the New Mexico Administrative Code as 12 NMAC 11.2, Subpart 10, Rules of Conduct; Subpart 11, Prohibited Business Practices, filed 4-19-99.
Those relevant portions of 12 NMAC 11.2, Subpart 10, Rules of Conduct; Subpart 11, Prohibited Business Practices, (filed 4-19-99), were renumbered, reformatted, amended and replaced by 12.11.4 NMAC, Broker Dealer and Sales Representatives Rules of Conduct and Prohibited Business Practices, effective 12-31-2008.
12.11.4 NMAC, Broker Dealer and Sales Representatives Rules of Conduct and Prohibited Business Practices (filed 12-9-2008) was replaced by 12.11.4 NMAC, Broker-Dealer and Agents Rules of Conduct and Prohibited Business Practices, effective 1-1-2010.

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