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2021 New Mexico Statutes
Chapter 58 - Financial Institutions and Regulations
Article 13C - New Mexico Uniform Securities
Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers
- Section 58-13C-401 - Broker-dealer registration requirement and exemptions.
- Section 58-13C-402 - Agent registration requirement and exemptions.
- Section 58-13C-403 - Investment adviser registration requirement and exemptions.
- Section 58-13C-404 - Investment adviser representative registration requirement and exemptions.
- Section 58-13C-405 - Federal covered investment adviser notice filing requirement.
- Section 58-13C-406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative.
- Section 58-13C-407 - Succession and change in registration of broker-dealer or investment adviser.
- Section 58-13C-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- Section 58-13C-409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative.
- Section 58-13C-410 - Filing fees.
- Section 58-13C-411 - Post-registration requirements.
- Section 58-13C-412 - Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration.
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