Administration & LiabilityCâu 96 / 100
Which statement about the Administrator's rulemaking authority is correct?
a.The Administrator may adopt rules but never prescribe forms
b.Rules take effect only after approval by the SEC
c.Rules may be adopted in secret and enforced immediately
d.The Administrator may make, amend, and rescind rules, forms, and orders necessary to carry out the act, and rules must be published before they can be enforced
Giải thích
The act gives the Administrator broad authority to adopt, amend, and rescind rules and forms and to issue orders as necessary to administer the statute, subject to publication so that regulated persons have notice. No rule may be enforced against a person who had no notice of it. State rules are not submitted to the SEC for approval, though they cannot conflict with preemptive federal law.
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 registrant disagrees with a final order entered by the Administrator. The registrant may:
- An Administrator has jurisdiction over an offer or sale when:
- Regarding records of registered broker-dealers and investment advisers, the Administrator:
- 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:
- After an investigation, the Administrator concludes that a person has willfully violated the act and that criminal charges are appropriate. The Administrator may:
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