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发帖数: 4522 | 1 http://www.sec.state.ma.us/sct/sctlic/licidx.htm
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Examination or Certification Requirements
Each investment adviser representative submitting an application for
registration must have met the requirements of either (a) or (b) below:
(a) Currently hold the professional designation of
Certified Financial Planner (CFP),
Chartered Financial Analyst (CFA),
Chartered Financial Consultant (ChFC),
Chartered Investment Counselor (CIC), or
Personal Financial Specialist (PFS).
(b) Have obtained a passing score on (i) the Uniform Investment Adviser
Law Examination (the Series 65 examination), or (ii) on both the Uniform
Combined State Law Examination (the Series 66 examination) and the General
Securities Representative Examination (the Series 7 examination). Note:
The Series 65 and the Series 66 examinations must be those examinations
available since January 1, 2000. A passing score on either examination
prior to January 1, 2000 would not qualify as meeting the above requirements. |
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