Courtroom Procedures & Protocols 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 Courtroom Procedures & Protocols flashcards as text
Before issuing a final order denying, suspending, or revoking a registration, a state administrator must generally provide:
Answer: Notice and an opportunity for a hearing
Due process requires notice and an opportunity for a hearing before a final adverse order.
An administrator issues a summary order against an agent without a prior hearing. What right does the agent have?
Answer: To request a hearing to contest the order
Summary orders may be issued first, but the affected party may request a hearing afterward.
An administrator wants to compel a firm to produce books and records relevant to an investigation. The administrator may:
Answer: Issue a subpoena
The administrator has subpoena power to compel witnesses and production of records.
A person served with an administrator's subpoena refuses to comply. The administrator may:
Answer: Apply to a court to enforce the subpoena
Subpoenas are enforced through the courts if the person refuses to comply.
A witness invokes the Fifth Amendment during an administrative investigation. Under the Uniform Securities Act, the witness may be compelled to testify, but:
Answer: The testimony may not be used to prosecute the witness criminally
Compelled testimony carries immunity from criminal prosecution based on that testimony.
An administrator believes a violation is about to occur and acts quickly. The administrator may seek in court:
Answer: A restraining order or injunction
The administrator may seek an injunction to stop or prevent violations.
For an injunction request by the administrator, which showing is generally NOT required?
Answer: That investors have actually lost money
The administrator need not prove actual investor damage to obtain an injunction.
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