Laws & RegulationsCâu 21 / 100
The Administrator may issue a cease and desist order:
a.Only after a criminal conviction
b.Only with the consent of the SEC
c.With or without a prior hearing to prevent a violation of the Act
d.Only against federal covered advisers
Giải thích
The Administrator has authority to issue cease and desist orders, and may do so with or without a prior hearing when necessary to prevent an ongoing or imminent violation. This is a preventive administrative power. It does not require a criminal conviction first.
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 agent shares in the profits and losses of a customer's account. Under NASAA standards, this is permitted only if:
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- Which of the following is generally an exempt security under the Uniform Securities Act?
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