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Remedies and Administrative Provisions

Remedies and Administrative Provisions

By now, Eddie’s head was spinning and he could hear somebody squirming in their seat as if they couldn’t hold it much longer. He squinted at the Smoking Woman’s handout again.

The office responsible for enforcing securities regulations is the state Administrator, although the actual title may differ from state to state.

The state Administrator’s primary job is to provide protection to investors, which they can do in a number of ways, including:

  • Investigating securities law violations, b...

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