Evidence Collection & Preservation 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 Evidence Collection & Preservation flashcards as text
Under the Uniform Securities Act, which action is within the administrator's investigative authority?
Answer: Issuing subpoenas to compel witnesses and the production of records
The administrator may investigate, subpoena witnesses and records, and take evidence, with court enforcement if a subpoena is ignored.
A person refuses to obey an administrator's subpoena. What is the administrator's remedy?
Answer: Apply to a court to enforce the subpoena
The administrator may ask a court to compel compliance with the subpoena.
Which statement best describes information gathered during an administrator's investigation?
Answer: Investigation records may be kept confidential, though the administrator may share them with other agencies
Investigations are generally non-public and the administrator may cooperate and share information with other regulators.
May an administrator examine a registered adviser's records without advance notice?
Answer: Yes, examinations may be conducted with or without prior notice
Registered firms are subject to periodic, special, and surprise examinations.
What may an administrator do after finding a violation, without first going to court?
Answer: Issue a cease-and-desist or other administrative order after notice and an opportunity for a hearing
Administrators have administrative authority to issue orders, subject to notice and hearing rights.
A consent order is best described as:
Answer: An agreement in which the respondent resolves the matter without admitting or denying the findings, as the order may provide
Consent orders settle matters administratively and are typically entered without admitting or denying allegations.
A witness before the administrator invokes the privilege against self-incrimination. What may the administrator do?
Answer: Seek to compel testimony where permitted, with a grant of immunity from use of the testimony
The Act allows compelled testimony with statutory immunity protecting its use against the witness.
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