La. Admin. Code tit. 10 § XIII-1303
Current through Register Vol. 50, No. 11, November 20, 2024
Section XIII-1303 - Examination RequirementsA. Any investment adviser firm applying for registration under R.S. 51:703(D), or renewal of any such registration, shall provide the commissioner with proof that each of its investment adviser representatives has met one of the two following examination requirements:1. successfully passed the uniform investment adviser law examination (series 65 examination) after January 1, 2000; or2. successfully passed the General Securities Representative Examination (Series 7 examination) and the Uniform Combined State Law Examination (Series 66 examination).3. successfully passed the general securities representative examination (series 7 examination) and uniform registered investment adviser examination (series 65 examination) prior to January 1, 2000.La. Admin. Code tit. 10, § XIII-1303
Promulgated by the Office of the Governor, Office of Financial Institutions, LR 32:2055 (November 2006), effective January 1, 2007, Amended LR 421088 (7/1/2016).AUTHORITY NOTE: Promulgated in accordance with R.S.51:703(D).