Nev. Admin. Code § 90.342 - Compliance with certain provisions of Conduct Rules

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For the purposes of subsection 5 of NRS 90.390, each licensed broker-dealer shall comply with the provisions of Rules 4511 to 4515, inclusive, and 7440 of the Financial Industry Regulatory Authority Rules, as adopted by reference in NAC 90.321, whether or not he or she is a member of the Financial Industry Regulatory Authority.

Notes

Nev. Admin. Code § 90.342

Added to NAC by Sec'y of State by R016-02, eff. 8-6-2002; A by R033-08, 6-17-2008; A by R018-21A, eff. 6/2/2023

NRS 90.390, 90.750

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