Administrator

DEFINITION of 'Administrator'

1. A person empowered by a court to act for another person who is deemed incapable of acting for himself/herself.

2. Under the Uniform Securities Act, an entity that enforces the rules and regulations, including registration requirements and post-registration requirements, of investment advisory professionals.

BREAKING DOWN 'Administrator'

1. For example, an Administrator is appointed to take charge of an estate if an individual has died without leaving a will.

2. Commonly referred to as the "State Administrator".

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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. 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 >>
  3. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  4. Under the Uniform Securities Act, federal covered securities include those sold ...

    The correct answer is b. Qualified purchasers are defined under the Uniform Securities Act as either a person who owns at ... Read Answer >>
  5. Under the Uniform Securities Act, federal covered securities include those sold ...

    The correct answer is b. Qualified purchasers are defined under the Uniform Securities Act as either a person who owns at ... Read Answer >>
  6. All of the following are unethical behaviors prohibited under the Uniform Securities ...

    The correct answer is b. All registrants must follow the client’s instructions, including executing a trade that the registrant ... Read Answer >>
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