Administration & Liability第 90 / 100 题
Under the Uniform Securities Act as commonly adopted, a person convicted of a willful violation of the act faces criminal penalties of:
a.A fine, imprisonment, or both, with prosecution generally required to begin within five years of the alleged violation
b.Life imprisonment with no fine
c.A fine imposed directly by the Administrator, with no court involvement
d.No criminal exposure, because the act provides only civil remedies
解析
Willful violations are criminal offenses punishable by a fine, imprisonment, or both, and the act sets a statute of limitations of five years from the alleged violation for beginning a prosecution. Criminal cases are brought in court by the appropriate prosecuting authority, not decided by the Administrator. Proof of willfulness means proof that the person intended the act, though not that the person knew it was unlawful.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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