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An Administrator may take disciplinary action against a broker/dealer or its agents when the Administrator: 1. determines that the action is in the public interest. 2. suspects that the registrant's action
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4 votes
4 votes
An Administrator may take disciplinary action against a broker/dealer or its agents when the Administrator:

1. determines that the action is in the public interest.
2. suspects that the registrant's action violated a rule, order, or the USA.
3. issues an injunction which carries the force of law.
4. provides for a public hearing which must precede issuing a cease and desist order.

User MichaelW
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1 Answer

19 votes
19 votes

Answer:

4)provides for a public hearing which must precede issuing a cease and desist order.

User David Fullerton
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