HOME    SEARCH    ABOUT US    CONTACT US    HELP   
           
Rule: 6.10.605 Prev     Up     Next    
Rule Title: CERTIFICATIONS OR DESIGNATIONS NOT CONSIDERED UNLAWFUL
Add to My Favorites
Add to Favorites
Department: STATE AUDITOR
Chapter: SECURITIES DEPARTMENT
Subchapter: Senior Specific Certifications and Designations
 
Latest version of the adopted rule presented in Administrative Rules of Montana (ARM):

Printer Friendly Version

6.10.605    CERTIFICATIONS OR DESIGNATIONS NOT CONSIDERED UNLAWFUL

(1) For purposes of this rule, a senior certification or professional designation does not include a job title within an organization that is licensed or registered by a state or federal financial services regulatory agency, when that job title:

(a) indicates seniority or standing within the organization; or

(b) specifies an individual's area of specialization within the organization.

(2) For purposes of this rule, financial services regulatory agency includes, but is not limited to, an agency that regulates broker-dealers, investment advisers, or investment companies as defined under the Investment Company Act of 1940.

History: 30-10-107, MCA; IMP, 30-10-201, 30-10-301, MCA; NEW, 2008 MAR p. 2046, Eff. 9/26/08.


 

 
MAR Notices Effective From Effective To History Notes
6-180 9/26/2008 Current History: 30-10-107, MCA; IMP, 30-10-201, 30-10-301, MCA; NEW, 2008 MAR p. 2046, Eff. 9/26/08.
Home  |   Search  |   About Us  |   Contact Us  |   Help  |   Disclaimer  |   Privacy & Security