N.J. Admin. Code § 13:47A-4.1
Current through Register Vol. 56, No. 21, November 4, 2024
No officer, director, partner or individual affiliated with a broker-dealer or investment adviser applying for registration in this State who will participate in management either as investment adviser or in the offering or selling of securities either within or from this State, shall be so registered unless he or she has taken and successfully passed a securities examination approved by the Bureau Chief and offered by an independent self-regulatory organization of the securities industry registered with the Securities and Exchange Commission, or taken and successfully passed a securities examination given by a state whose examination is recognized by the Bureau of Securities of the State of New Jersey.
N.J. Admin. Code § 13:47A-4.1
See: 24 N.J.R. 2524(a), 24 N.J.R. 4060(a).
Deleted text in last sentence.
Amended by R.1997 d.451, effective 10/20/1997.
See: 29 N.J.R. 3119(a), 29 N.J.R. 4463(a).
Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
Section was "Examinations for broker-dealers and investment advisors". Substituted "adviser" for "advisor" twice and "Bureau Chief" for "Chief of the Bureau of Securities".