Administration & LiabilityCâu 95 / 100
Regarding records of registered broker-dealers and investment advisers, the Administrator:
a.May inspect records only after obtaining a search warrant
b.May require records but may never inspect them outside the state
c.May by rule require registrants to make and keep specified records and may examine those records within or outside the state, at any reasonable time and as often as necessary
d.May inspect records only during an annual audit announced in advance
Giải thích
The act authorizes the Administrator to prescribe recordkeeping requirements and to conduct reasonably frequent examinations of registrants' records, whether the records are located in the state or elsewhere. Examinations may be announced or unannounced and do not require a warrant, because registration carries consent to inspection. Registrants must also ensure records are preserved for the periods set by rule.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A broker-dealer discovers it sold securities in violation of the act and sends the purchaser a written offer of rescission. Which statement is correct?
- A registrant disagrees with a final order entered by the Administrator. The registrant may:
- An Administrator has jurisdiction over an offer or sale when:
- Which statement about the Administrator's rulemaking authority is correct?
- Which of the following may the Administrator NOT do?
- A non-resident broker-dealer is sued under a state's securities act. Because the firm filed a consent to service of process, legal papers may be:
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