Section 48-9-003 - EXAMINATION REQUIREMENTS003.01 The investment adviser representative shall have taken and passed the following qualifying examinations administered by the Financial Industry Regulatory Authority: 003.01A The Uniform Investment Adviser Licensing Examination (Series 65 examination) after January 1, 2000; or003.01B The Uniform Combined State Law Examination (Series 66 examination) after January 1, 2000 and the General Securities Representative Examination (Series 7).003.02 The examination requirement does not apply to an individual who currently holds, and who maintains, one of the following professional designations: 003.02A Certified Financial Planner (CFP) awarded by the Certified Financial Planner Board of Standards, Inc.;003.02B Chartered Financial Consultant (ChFC) awarded by The American College of Financial Services;003.02C Personal Financial Specialist (PFS) awarded by the American Institute of Certified Public Accountants;003.02D Chartered Financial Analyst (CFA) awarded by the Institute of Chartered Financial Analysts; or003.02E Chartered Investment Counselor (CIC) awarded by the Investment Adviser Association.003.03 Any individual who was registered as an investment adviser or investment adviser representative in any jurisdiction in the United States on January 1, 2000, and who has no subsequent gap in registration longer than two years, is not required to satisfy the examination requirements for continued registration.003.04 An individual who has a gap in registration of two years or less between the date of the termination of the individual's most recent registration in Nebraska and the date of application for registration is not required to comply with the examination requirements of this Rule.003.05 The Director may require additional examinations for any individual found to have violated any state or federal securities, commodities, banking, insurance, or real estate laws.003.06 The Director may waive the requirements of this section if the Director finds the waiver is consistent with investor protection and is in the public interest.48 Neb. Admin. Code, ch. 9, § 003
Amended effective 6/13/2022