Administration & LiabilityCâu 99 / 100
After an investigation, the Administrator concludes that a person has willfully violated the act and that criminal charges are appropriate. The Administrator may:
a.Refer the evidence to the attorney general or the appropriate prosecuting attorney, who may institute criminal proceedings
b.Impose a prison sentence directly
c.Convene a grand jury without involving prosecutors
d.Do nothing, because criminal violations are exclusively federal
Giải thích
The Administrator may refer the evidence gathered in an investigation to the attorney general or the proper district or prosecuting attorney, who has discretion to bring criminal proceedings in court. The Administrator has no power to sentence anyone or to convene a grand jury. State securities acts create state criminal offenses, so the matter is not exclusively federal.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An Administrator has jurisdiction over an offer or sale when:
- Regarding records of registered broker-dealers and investment advisers, the Administrator:
- 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:
- An applicant for agent registration has passed the required examination and has no disciplinary history, but the Administrator considers her inexperienced. Under the Uniform Securities Act, the Administrator:
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