The following words and terms, when used in this chapter, shall
have the following meanings, unless the context clearly indicates
otherwise.
(1) Complaint--a written communication submitted to
the Agency by a person that alleges misconduct by an individual or
entity believed to be engaged in an activity that is regulated by
the Agency.
(2) Complainant--person filing a complaint with the
Securities Commissioner.
(3) Jurisdictional authority--conduct regulated by
the Agency as provided for in the Act and Board rules.
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