Series 63 The Administrator and Jurisdiction ( Series 65 and Series 66 )

Series 7 Whisperer
07/01/2024 23 min Temporada 3 Episodio 86
Series 63 The Administrator and Jurisdiction ( Series 65 and Series 66 )

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Episode Synopsis

Kenneth discussed the role of a state regulator, the administrator, in overseeing security transactions. He explained the concept of an offer and how it can be regulated, as well as the distinction between an offer and a sale in the context of share transactions. Kenneth also elaborated on the registration process with the administrator, the powers of the administrator, and the importance of record keeping for broker dealers and Federal Ias.
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