Laws & Regulations第 106 / 110 题
Under the Uniform Securities Act, a willful violation of the act by an adviser or agent can result in which of the following?
a.Only a private apology to the client
b.Automatic loss of the client's account
c.A guaranteed civil settlement with no penalty
d.Criminal penalties, including fines and imprisonment, in addition to civil liability
解析
A willful violation of the Uniform Securities Act can subject a person to criminal penalties, including fines and imprisonment, as well as civil liability and administrative sanctions such as registration revocation. The act sets statutory limits on the amount and term of criminal penalties. These serious consequences underscore the importance of compliance.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
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