The State of New Mexico Regulation and Licensing Department Securities Division Issues Order for Authorization of Remote Audits
On December 6, 2023, New Mexico issued an order authorizing remote audits by Broker / Dealers of single agent branch offices in relation to 2024 annual audits.
- Annual on-site audits
- Books and records compliance examination
- Includes outside business activity audit
- Order will remain in effect until December 31, 2024.
Please see attachment for New Mexico for more information.
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