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Regulation Drill

Dashboard > Violations > Regulation > Regulation Drill
  • 1.

    In most cases, a state Administrator will complete which of the following before issuing a punitive order against a registered broker-dealer, investment adviser, or agent (but does not have to do so):

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  • 2.

    Whenever it appears to the Administrator that a person has engaged or is about to engage in any act or practice constituting a violation of the Uniform Securities Act, he or she can take immediate action by doing what?