Administration & Liability第 87 / 100 题
Which statement about a cease and desist order is correct?
a.It may be issued only after a full hearing on the merits
b.The Administrator may issue it with or without a prior hearing, but must go to court to obtain an injunction enforcing it
c.It automatically revokes the recipient's registration
d.It may be issued only against registered persons
解析
The Administrator may issue a cease and desist order with or without a prior hearing to stop conduct that violates the act, subject to the recipient's right to request a hearing. The Administrator cannot enforce the order directly; obtaining an injunction or other coercive relief requires applying to a court. Revocation is a separate proceeding, and the antifraud reach of the act extends to unregistered persons as well.
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
- In investigating a suspected violation, the Administrator may:
- 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?