Laws & RegulationsCâu 81 / 110
Under the Uniform Securities Act, the state official who administers securities law is known as the:
a.Administrator
b.Comptroller
c.Registrar of Deeds
d.Trustee
Giải thích
The Uniform Securities Act refers to the state securities regulator as the Administrator, who enforces the act, registers securities and professionals, and pursues violations. The Administrator has broad authority to make rules, conduct investigations, and issue orders. This term is used consistently throughout state blue-sky law.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which of the following best distinguishes the fiduciary standard from a suitability standard?
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