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TITLE 12 - TRADE, COMMERCE AND BANKING

CHAPTER 11

SECURITIES

   
12.11.1 NMAC GENERAL PROVISIONS
12.11.2 NMAC BROKER-DEALERS AND AGENTS
12.11.3 NMAC BROKER-DEALER AND AGENTS RECORDS
12.11.4 NMAC BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
12.11.5 NMAC INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
12.11.6 NMAC INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RECORDS
12.11.7 NMAC INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES
12.11.8 NMAC REGISTRATION OF SECURITIES - GENERAL PROVISIONS
12.11.9 NMAC STANDARDS APPLICABLE TO REGISTERED OFFERINGS
12.11.10 NMAC SMALL COMPANY OFFERING REGISTRATION (SCOR)
12.11.11 NMAC EXEMPT SECURITIES
12.11.12 NMAC EXEMPT TRANSACTIONS
12.11.13 NMAC UNIFORM LIMITED OFFERING EXEMPTION
12.11.14 NMAC NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES
12.11.15 NMAC FRAUDULENT PRACTICES
12.11.16 NMAC FORMS
12.11.17 NMAC USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS
     
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