[Series 66] 42, Administrator Powers and Investigations

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Scope of state Administrator investigative powers under the Uniform Securities Act - Difference between administrative cease and desist orders and court-issued injunctions - Procedure for enforcing subpoenas through state court petitions - Procedural requirements and hearing timelines for summary administrative orders - Key distinction between administrative remedies and judicial enforcement powers This independent study resource is designed for candidates preparing for the Series 66 exam. Access additional practice tools at https://open-exam-prep.com/practice/series66 and watch our video tutorials on YouTube at https://www.youtube.com/@Open-exam-prep . Sources checked: September 14, 2026 - https://www.nasaa.org/wp-content/uploads/2023/02/Series-66-Outline-June-2023.pdf - https://www.finra.org/registration-exams-ce/qualification-exams/series66