An entity governing the rules and regulations set forth in the state-level Uniform Securities Act.
Investopedia Says:
Duties of a state administrator include the ability to bar, censure restrict or suspend registered organizations or individuals which fail to adhere to the terms set forth in the Uniform Securities Act. These terms include willful securities violations, unethical business practices, conviction of a felony and other such infractions.
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Your career as a securities agent begins with this test. We'll show you how to score high. Succeeding At The Series 63 Exam
Find out how this regulatory body protects the rights of investors. Policing The Securities Market: An Overview Of The SEC
A disclosure is meant to reveal the nature of the relationship between analyst and subject company. Find out more here. Disclosures: The Good, The Bad, And The Ugly
