Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers

  1. Law
  2. New Mexico Statutes
  3. Financial Institutions and Regulations
  4. New Mexico Uniform Securities
  5. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers

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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.