New Mexico Administrative Code
Title 12 - TRADE, COMMERCE AND BANKING
Chapter 11 - SECURITIES
Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS
Section 12.11.5.14 - EXAMINATION REQUIREMENTS
Universal Citation: 12 NM Admin Code 12.11.5.14
Current through Register Vol. 35, No. 18, September 24, 2024
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).
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