Administration & Liability第 86 / 100 题
In investigating a suspected violation, the Administrator may:
a.Act only within the borders of his or her own state
b.Compel testimony only after obtaining a criminal indictment
c.Require testimony but never demand documents
d.Conduct investigations inside or outside the state, administer oaths, subpoena witnesses and records, and require written statements under oath
解析
The act grants broad investigative authority: the Administrator may investigate in or outside the state, publish information about violations, administer oaths, compel attendance of witnesses, and require the production of books, papers, and other records. These powers do not depend on a criminal charge. If a person refuses to comply, the Administrator asks a court to compel obedience through its contempt power.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
同考点相关题目
- Which statement about a cease and desist order is correct?
- Before denying, suspending, or revoking a registration, the Administrator must generally find that:
- The Administrator believes immediate action is needed against a registrant while a proceeding is pending. The Administrator may:
- Under the Uniform Securities Act as commonly adopted, a person convicted of a willful violation of the act faces criminal penalties of:
- An investor buys a security in a sale that violated the registration provisions of the act. In a civil suit, the investor may generally recover:
- 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?