Remedies · 11%
Understand administrator powers and remedies
Follow the sequence from investigation and order to civil, criminal and private remedies.
Identify the authority and purpose
A state administrator can investigate possible violations, compel information and seek protective action within statutory limits.
Separate order types
Denial, suspension, revocation, cancellation and stop orders serve different purposes and require attention to notice and hearing rights.
Ethics25%
Communications20%
Agents13%
Broker-dealers12%
Remedies11%
Securities9%
Advisers5%
IARs5%
Track liability and rescission
A buyer's remedy can depend on the violation, notice, tender, limitation period and available damages.
Do not merge criminal and civil standards
Willfulness, burden, sanction and decision maker differ across administrative, civil and criminal paths.