1 MAC Pt. 14, R. 9.15
Sales Agents
Cite as 1 Miss. Admin. Code Pt. 14, R. 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.