Series 63: 3.3.4. Other Provisions

3.3.4. 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 are 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) has been conducted. The order may be:

• Vacated (charges or penalties dropped)

• Finalized (charges and penal