Civil & Criminal Procedures Flashcards
7 cards from real Series 66 – Uniform Combined State Law Exam practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Civil & Criminal Procedures flashcards as text
The Administrator receives complaints that an unregistered agent is soliciting investors and wants to stop the conduct immediately. Which tool is MOST direct?
Answer: A summary cease and desist order, with the right to a hearing on request
The Administrator can issue summary orders without prior hearing; the affected party may request a hearing afterward.
After a summary order is issued, how soon must a requested hearing generally be held under the USA?
Answer: Within 15 days of the request
The Administrator must schedule a hearing within 15 days after a request is received.
An Administrator's order is challenged by a firm. Where may the firm seek review?
Answer: In court, by appealing the Administrator's final order
Persons aggrieved by a final order may seek judicial review in court.
Which of the following may the Administrator do during an investigation?
Answer: Issue subpoenas, administer oaths, and compel production of records
The Administrator may subpoena witnesses, take evidence, and require production of records.
Can the Administrator's investigatory powers be exercised outside the home state?
Answer: Yes, investigations may be made within or outside the state
The USA permits investigations inside or outside the state.
A registered broker-dealer from another state sells to a resident without a local filing of consent to service. What does the USA require?
Answer: A consent to service of process naming the Administrator as agent
Applicants file a consent to service of process so that the Administrator can receive process on behalf of nonresidents.
A court finds a violation after the Administrator seeks an injunction. Which relief can the court grant?
Answer: Permanent or temporary injunction, receiver appointment, and asset freezes
Courts may enjoin acts, appoint receivers or conservators, and freeze assets.
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