N.M. Admin. Code § 13.3.2.14

Current through Register Vol. 35, No. 23, December 10, 2024
Section 13.3.2.14 - NATURE OF OWNERSHIP

Under "nature of ownership", state whether ownership of the securities is "direct" or "indirect". If the ownership is indirect, i.e., through a partnership, corporation, trust or other entity, indicate, in a footnote or other appropriate manner, the name or identity of the medium through which the securities are indirectly owned. The fact that securities are held in the name of a broker or other nominee does not, of itself, constitute indirect ownership. Securities owned indirectly shall be reported on separate lines from those owned directly and also from those owned through a different type of indirect ownership.

N.M. Admin. Code § 13.3.2.14

7/1/97; Recompiled 11/30/01