Ok, we’ve reviewed the Administrator’s role in enforcing the regulations of the Uniform Securities Act. This part of the exam is worth 6 out of 60 questions, so we won’t bother spending too much more space discussing what state Administrators can and cannot do, but you should understand state Administrators don’t officially approve of or endorse securities, broker-dealers, investment advisers, reps or agents. You can’t put ‘em on your business cards or in your ads, you can’t tell clients they...
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