N.M. Code R. § 12.11.2.11

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

Section 12.11.2.11 - EXAMINATION REQUIREMENTS WAIVER

The examination requirement in 12.11.2.10 NMAC is waived for any applicant who meets the criteria set forth in either Subsections A or B of this section.

A. The applicant has been registered, within two years prior to the date the application for registration is filed in this state, as agents or as a broker-dealer under the securities law of any other state that requires passing the uniform securities agent state law examination or the uniform combined state law examination and has been registered with FINRA, within two years prior to the date the application for registration is filed, to engage in the type of business for which the applicant is applying for registration.

B. The applicant has been registered under the New Mexico Uniform Securities Act within two years prior to the date the application is filed as an agent or broker-dealer to engage in the type of business for which the applicant is seeking registration.

N.M. Code R. § 12.11.2.11

12.11.2.11 NMAC - Rp, 12.11.2.11 NMAC, 1-1-2010