Series 65: Other Provisions

Taken from our Series 65 Online Guide

Other Provisions

The Uniform Securities Act outlines a number of other administrative rules regarding the role of the Administrator’s office. The biggest of these is the rules surrounding a “final order,” when the Administrator decides what final action to take on an initial order that was previously issued. Essentially, this is the finished product after an investigation and, possibly, a hearing have been completed. In the f

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