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TITLE
12
- TRADE, COMMERCE AND BANKING
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CHAPTER 11 SECURITIES |
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| 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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