New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 17 - USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS
Section 12.11.17.11 - EXCEPTION FOR CERTAIN JOB TITLES
Universal Citation: 12 NM Admin Code 12.11.17.11
Current through Register Vol. 35, No. 18, September 24, 2024
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.
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