N.M. Code R. § 12.11.5.15

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

Section 12.11.5.15 - LIMITED REGISTRATION

Any individual whose proposed advisory activities will be restricted shall provide the director with proof of obtaining a passing score on the uniform combined state law examination (series 66 - post 1999 version) and each examination in the following paragraphs that relates to the applicant's proposed activities:

A. the investment company products/variable contracts representative examination (series 6);

B. the limited registered representative examination (series 17);

C. the direct participation programs representative examination (series 22);

D. the municipal securities representative examination (series 52);

E. the corporate securities representative examination (series 62);

F. the government securities limited representative examination (series 72);

G. the Canada modules of the series 7 examination (series 37 and 38);

H. the Japan module of the series 7 examination (series 47).

N.M. Code R. § 12.11.5.15

12.11.5.15 NMAC - Rp, 12.11.5.10 NMAC, 1-1-2010