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Section 58-13C-401 - Broker-dealer registration requirement and exemptions. - A. It is unlawful for a person to transact business...
Section 58-13C-402 - Agent registration requirement and exemptions. - A. It is unlawful for an individual to transact business...
Section 58-13C-403 - Investment adviser registration requirement and exemptions. - A. It is unlawful for a person to transact business...
Section 58-13C-404 - Investment adviser representative registration requirement and exemptions. - A. It is unlawful for an individual to transact business...
Section 58-13C-405 - Federal covered investment adviser notice filing requirement. - A. Except with respect to a federal covered investment adviser...
Section 58-13C-406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative. - A. A person shall register as a broker-dealer, agent, investment...
Section 58-13C-407 - Succession and change in registration of broker-dealer or investment adviser. - A. A broker-dealer or investment adviser may succeed to the...
Section 58-13C-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - A. If an agent registered pursuant to the New Mexico...
Section 58-13C-409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative. - Withdrawal of registration by a broker-dealer, agent, investment adviser or...
Section 58-13C-410 - Filing fees. - A. A person shall pay a fee of three hundred...
Section 58-13C-411 - Post-registration requirements. - A. Subject to Section 15(h) of the federal Securities Exchange...
Section 58-13C-412 - Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration. - A. If the director finds that the order is in...