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.