Administration & Liability第 88 / 100 题
Before denying, suspending, or revoking a registration, the Administrator must generally find that:
a.The order is in the public interest and a statutory ground exists, after appropriate notice, an opportunity for hearing, and written findings of fact and conclusions of law
b.The registrant has been convicted of a felony
c.The registrant has caused a customer to lose money
d.A majority of the registrant's customers have complained
解析
Disciplinary orders require both a public interest finding and one of the enumerated statutory grounds, such as a material misstatement in an application, a securities-related conviction, an injunction, or a violation of the act. Procedural protections include prior notice, an opportunity for a hearing, and written findings. Customer losses and complaint counts may be evidence but are not themselves the legal standard.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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