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 U-4; and, D. A filing fee as specified in Rule 4.11. Source: Miss. Code ▇▇▇. § ▇▇-▇▇-▇▇▇ (2016).
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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 U-4; and,
D. A filing fee as specified in Rule 4.11. Source: Miss. Code ▇▇▇. § ▇▇-▇▇-▇▇▇ (Rev. 2009 2016).
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