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 12.11.5.15 - LIMITED REGISTRATION

Universal Citation: 12 NM Admin Code 12.11.5.15

Current through Register Vol. 35, No. 18, September 24, 2024

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).

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