New Mexico Broker Dealer Withdrawal

State:
New Mexico
Control #:
NM-SKU-0896
Format:
PDF
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Description

Broker Dealer Withdrawal New Mexico Broker Dealer Withdrawal is a process through which a registered broker-dealer in New Mexico ceases doing business in the state. The process is overseen by the New Mexico Securities Division of the Office of the State Securities Commissioner. It includes filing a notice of withdrawal with the Commissioner, providing notice to customers and creditors, delivering customer and creditor documents, and paying any outstanding fees. Different types of New Mexico Broker Dealer Withdrawal include voluntary withdrawal, administrative withdrawal, and revocation.

New Mexico Broker Dealer Withdrawal is a process through which a registered broker-dealer in New Mexico ceases doing business in the state. The process is overseen by the New Mexico Securities Division of the Office of the State Securities Commissioner. It includes filing a notice of withdrawal with the Commissioner, providing notice to customers and creditors, delivering customer and creditor documents, and paying any outstanding fees. Different types of New Mexico Broker Dealer Withdrawal include voluntary withdrawal, administrative withdrawal, and revocation.

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New Mexico Broker Dealer Withdrawal