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The Administrator's Office

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The Administrator's Office

So we’ve reviewed the Administrator’s role in enforcing the regulations of the Uniform Securities Act. This part of the exam comprises 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 advisors, reps, or agents. You can’t put endorsements on your business cards or in your ads; you can’t tell cl...

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