What Is Administrator?
The state official or agency that enforces the securities laws within a state, with authority to register securities and persons, make rules, investigate, and issue orders.
Administrator across 2 exams
Administrator appears on the following exams. Each defines it in the context candidates are tested on:
- Series 63
- The state official or agency that enforces the securities laws within a state, with authority to register securities and persons, make rules, investigate, and issue orders.
- Series 66
- The state official or agency responsible for administering and enforcing state securities laws under the Uniform Securities Act, including registration, investigations, and enforcement actions.