N.M. Code R. § 12.11.17.11

Current through Register Vol. 35, No. 11, June 11, 2024

Section 12.11.17.11 - EXCEPTION FOR CERTAIN JOB TITLES

For purposes of this section, financial services regulatory agency includes, but is not limited to, an agency that regulates broker-dealers, investment advisers, or investment companies as defined under the Investment Company Act of 1940. For purposes of this part, a certification or professional designation does not include a job title within an organization that is licensed or registered by a state or federal financial services regulatory agency, when that job title:

A. indicates seniority or standing within the organization; or

B. specifies an individual's area of specialization within the organization.

N.M. Code R. § 12.11.17.11

12.11.17.11 NMAC - Rp, 12.11.17.11 NMAC, 1-1-2010