Establishment of local regulatory office expands investor protection and education jurisdiction and delegated regulatory functions. Establishment of a Local Office under Section 3(4) creates a localized administrative mechanism for regulatory oversight, tasked with investor protection, investor education and other delegated functions, and is placed under the administrative control of the regional office with responsibility for the applicable territorial jurisdiction.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Establishment of local regulatory office expands investor protection and education jurisdiction and delegated regulatory functions.
Establishment of a Local Office under Section 3(4) creates a localized administrative mechanism for regulatory oversight, tasked with investor protection, investor education and other delegated functions, and is placed under the administrative control of the regional office with responsibility for the applicable territorial jurisdiction.
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