Question

Under the Uniform Securities Act, during an investigation, the Administrator may:A. require an affidavit from an agent of a broker-dealerB. subpoena books, records and witnessesC. require testimony that might tend to incriminate the giverD. all of the above

Answer 1

Answer:

D. all of the above

Explanation:

The Uniform Securities Act is a law related to values; to prohibit fraudulent practices in relation to values; to require the registration of broker-dealers, agents, investment and securities advisors; and to make the values uniform.