specific state
NSMIA National Securities Markets Improvements Act - ANSWER national legislation to
integrate securities, eliminate conflicting stae and federal securities legislation
SEC Securities Exchange Commission - ANSWER supersedes state
NCCUSL National Conference of Commissioners on Uniform State Laws - ANSWER
national organization of lawyers devoted to unifing state laws drafted original USA for
separate states to adopt
Administrator - ANSWER has complete responsibility for administering the securities laws
of state
Administrator 1 - ANSWER jurisdiction over all securities activity from his state as well as
received in his state~has jurisdiction over registration of securities professionals and
securities
Administrator 2 - ANSWER Can deny, suspend, revoke registrations
Cease and Desist Order - ANSWER used by Admin whenever any registred person has or
about to engage in practice constituting violation;with/without pruior hearing - only applies
to registered persons
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