1 Miss. Code. R. 14-9.15

Current through October 31, 2024

Rule 1-14-9.15 - Sales Agents

Any sales agent who engages in the sale of viatical settlement investment contracts must provide the Secretary of State with the following:

A. Proof of obtaining a passing grade on the FINRA Series 7 examination;

B. Proof of obtaining a passing grade on the FINRA Series 63 examination;

C. An accurate, complete, and signed Form U4; and

D. A filing fee as specified in Rule 4.17.

1 Miss. Code. R. 14-9.15

Miss. Code Ann. § 75-71-404 (2020).

Amended 6/3/2018

Amended 9/2/2019

Amended 4/18/2022

Amended 1/29/2024

Amended 3/14/2024