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 FAQS
  1. Under the Uniform Securities Act, the Administration is empowered to perform which ...

    The correct answer is a. The Administrator does have the power to subpoena records and obtain an injunction. Also, a sales ... Read Answer >>
  2. A person whose registration has been revoked by an Administrator due to a felony ...

    The correct answer is a. The Administrator may suspend, deny or revoke registration in any capacity if the person has such ... Read Answer >>
  3. What is the difference between an operational expense and an administrative expense?

    An operating expense covers the production and marketing of products and services, whereas an administrative expense covers ... Read Answer >>
  4. What are some examples of general and administrative expenses?

    Learn examples of the general and administrative expenses such as audit fees, legal fees, rent, utilities and office equipment ... Read Answer >>
  5. Under the Uniform Securities Law, broker-dealers are required to sign a consent ...

    The correct answer is c. The consent to service of process appoints the Administrator as attorney in the event of any lawsuits ... Read Answer >>
  6. The Administrator issue may issue a stop order for a federal covered security under ...

    The correct answer is d. The Administrator may issue a stop order if it believes it to be in the best interest of the public, ... Read Answer >>
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