N.M. Admin. Code § 12.11.5.14

Current through Register Vol. 35, No. 21, November 5, 2024

Section 12.11.5.14 - EXAMINATION REQUIREMENTS

An individual applying to be registered as an investment adviser or investment adviser representative under the New Mexico Uniform Securities Act shall provide the director with proof of obtaining a passing score on either:

A. the uniform investment adviser law examination (series 65 - post 1999 version); or,

B. the general securities representative examination (series 7) and the uniform combined state law examination (series 66 - post 1999 version).

N.M. Admin. Code § 12.11.5.14

12.11.5.14 NMAC - Rp, 12.11.5.9 NMAC, 1-1-2010