Remedies and Administrative Procedures - Introduction

Each state has an Administrator, who has certain jurisdiction and powers related to the offer and sale of securities in his or her state. Generally, an Administrator will simply issue a cease and desist order if he or she finds a problem. However, the Administrator can also have a court order an injunction or deny, revoke or suspend registration. The following section outlines an Administrator's ability to regulate - that is, the enforcement aspect of the USA. Administrator Authority


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RELATED TERMS
  1. Administrative Accounting

    The financial reporting of factors that influence decision making, ...
  2. Cease And Desist

    An order given by a government administrative agency or the courts ...
  3. Third-Party Claims Administrator

    This type of administrator processes claims for a third-party ...
  4. General And Administrative Expense ...

    Expenditures related to the day-to-day operations of a business. ...
  5. Assets Under Administration - AUA

    Financial properties that are managed by a bank or financial ...
  6. Administrative Expenses

    The expenses that an organization incurs not directly tied to ...
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