Under the provisions of the Uniform Securities Act, for willful violations, the State Administrator can:
A. institute criminal proceedings
B. impose a monetary fine
C. file suit under civil liability provisions
D. revoke registration of persons

Answers

Answer 1

Option d is Correct. The State Administrator may withdraw a person's registration under the Uniform Securities Act for intentional violations.

In the USA, it is illegal for an investment adviser to participate as the principal or agent in a transaction with an advising client without consent and before the trade has been settled. By submitting an application to the Director and including the information required by the Director's rules to maintain the information in the initial registration application current, a broker-dealer or investment adviser may acquire a renewal registration.

By submitting an application to the Director that includes the names of the agents or investment adviser representatives it is affiliated with and a certification that, to the best of its knowledge, information, and belief, the information in the application has not changed, a broker-dealer, investment adviser, or issuer may renew the registration of the agents or investment adviser representatives associated with it. Each renewal registration application will take effect on the later of the day it is received by the Director or the date the prior registration expires.

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Related Questions

Essay on civil and criminal laws on malaysia?

Answers

Answer:

are various definitions of the term “legal system”. A Legal System is the framework of rules and institutions within a nation regulating individual’s relations with one another and between them and the government.(Book) In this world, there are many types of legal systems, but the few major legal sytems of the world today are civil law, common law, customary law, religious law, socialist and mixed law systems.

Civil law is the dominant legal tradition today in most of Europe, all of Central and South America, parts of Asia and Africa, and even some discrete areas of the common-law world, like Louisiana and Quebec. The origin of civil law is from the Roman law. The civil law is a set out of comprehensive system of rules which are applied and interpreted by judges. Besides that, civil law is older, more widely distributed and in many ways more influential than the common law.

Common law is a system of law that is derived from judges’ decisions, rather than statutes or constitutions. It is based on tradition, past practices and legal precedents set by courts through interpretation of statues, legal legislation, and past rulings.It is english origin and is found in United States and other countries with strong english influences

Customary law is a traditional common rule or practice that has become an intrinsic part of the accepted and expected conduct in a community, profession, or trade and is treated as a legal requirement. Not many countries in the world today will operate under a legal system which could be wholly customary. However, customary law still plays a sometimes significant role, like in the matters of personal conduct, in many countries or political entities with mixed legal systems.

Islamic law is derived from the interpretation of the Koran. Its primary objective is social justice, but also includes property rights, economic decision making, and types of economic freedom. Islamic law is mostly found in Pakistan, Iran, and other Islamic states.

Socialist law is based on fundamental tenets of Marxist-socialist state and center on concept of economic, political, and social policies of the state. It can be found in some independent states of the former Soviet Union, China and other Marxist-socialist states.

A mixed legal system is a mixture of two or more legal system practised by some countries.

2.0 Malaysia’s Legal System

Different country practices different types of legal system. Some country practices one type of legal system while others practices the mixed legal system which means a combination of two or more legal systems. Malaysia for example, practices the mixed legal system which includes the Common Law, Islamic law and Customary Law. Malaysia’s legal system comprises laws which have arise from three significant periods in Malaysian history dating from the Malacca Sultanate, to the spread of Islam to Southeast Asia, and following the absorption into the indigenous culture of British colonial rule which introduced a constitutional government and the common law. Malaysia’s unique legal system is designed to balance the delicate racial and religious needs of its heterogeneous people. The Malaysian legal system law can be classified into two . However, according to the democratic ruling system, the Chief Executive is the Prime Minister. This does not mean that the Yang di-Pertuan Agong is unable to voice any opinion, but rather that he must act on government advice, whatever his personal view might be. The Yang di-Pertuan Agong appoints a Cabinet to advise him on country’s matter. The Cabinet consists of the Prime Minister and a number of Ministers who must all be members of Parliament. Besides that, the Government has set up various agencies to ensure the smooth enforcement of the law. It comprised of three main components, namely ministries, departments and statutory bodies.

laws pertaining to persons professing the religion of Islam.

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state two functions of bile juice in digestion of food​

Answers

Answer:

Bile helps with digestion. It breaks down fats into fatty acids, which can be taken into the body by the digestive tract.

juvenile means what?

Answers

Answer: A "juvenile" is a person who has not attained his eighteenth birthday, and "juvenile delinquency" is the violation of a law of the United States committed by a person prior to his eighteenth birthday which would have been a crime if committed by an adult.

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In criminal justice systems a youth detention center, known as a juvenile detention center (JDC), juvenile detention, juvenile hall, or more colloquially as juvie/juvy, also sometimes referred as observation home or remand home is a prison for people under the age of 21, often termed juvenile delinquents, to which they ...

The rights of people accused of a crime are protected in the Bill of Rights. Choose ALL true statements about how the Bill of Rights protects the rights of the accused.

A) Punishment for a crime must be fair and appropriate.

B) People accused of crimes can choose their own juries.

C) Searches and seizures of people's property must be lawful. Eliminate

D) Trials must be fair and speedy, and include a jury of peers.

E) Under no circumstances is a person's property to be searched.

Answers

Answer:

B, C and D

Explanation:

C is Protection from Unreasonable Searches and Seizures ( amendment 4)

D is- Rights of Accused Persons in Criminal Cases (Amendment 6)

B is- public trial by an impartial jury (amendment 5)

A is not covered under the BoR

E: you can be searched if there is probable cause

Answer:

the answer is a, c, and d

Explanation:

What can people do if they feel that a law is unfair?

Answers

People who think that the law is not fair can approach the court to decide on the issue. The court has the power to modify or cancel laws if it finds that they don't adhere to the Constitution.
hope this help!

Answer: People who think that the law is not fair can approach the court to decide on the issue. The court has the power to modify or cancel laws if it finds that they don't adhere to the Constitution.

Brown v. Board, Main points, argument, and violations. I am expecting a decent paragraph! (10 Sentence!) Majority Opinion for the brief also!

Answers

Answer:

The Supreme Court's opinion in the Brown v. Board of Education case of 1954 legally ended decades of racial segregation in America's public schools. Originally named after Oliver Brown, the first of many plaintiffs listed in the lower court case of Brown v. Board of Education of Topeka, KS, the landmark decision actually resolved six separate segregation cases from four states, consolidated under the name Brown v. Board of Education. While the attorneys originally argued the cases on appeal to the Court in 1952, the featured document, School Segregation Cases - Order of Argument, offers a window into the three days in December of 1953 during which the attorneys reargued the cases.

A reargument was necessary because the Court desired briefs from both sides that would answer five questions, all having to do with the attorneys' opinions on whether or not Congress had segregation in public schools in mind when the 14th amendment was ratified. The document lists the names of each case, the states from which they came, the order in which the Court heard them, the names of the attorneys for the appellants and appellees, the total time allotted for arguments, and the dates over which the arguments took place.

The first case listed, Briggs v. Elliott, originated in Clarendon County, South Carolina, in the fall of 1950. Harry Briggs was one of twenty plaintiffs who were charging that R.W. Elliott, as president of the Clarendon County School Board, violated their right to equal protection under the fourteenth amendment by upholding the county's segregated education law. Briggs featured social science testimony on behalf of the plaintiffs from some of the nation's leading child psychologists, such as Dr. Kenneth Clark, whose famous doll study concluded that segregation negatively affected the self-esteem and psyche of African-American children. Such testimony was groundbreaking because on only one other occasion in U.S. history had a plaintiff attempted to present such evidence before the Court.

Explanation:

19. To bring a derivative suit, a shareholder must own stock at the time of the
A. injury and at the time of the suit.
B. injury only
C. suit only
D. trial, suit, and injury

Answers

Answer:

A. injury and at the time of the suit.

Explanation:

A corporation can be defined as a corporate organization that has facilities and owns or controls assets used for the production of goods and services in at least one country other than its headquarter (home office) located in its home country.

This ultimately implies that, a corporation is a corporate organization that owns or controls its business in two or more countries.

One of the advantage of a corporation is that, owners have limited liability for debt to the extent to which they have invested and as such are not personally liable for some of the debt owed by corporation.

A derivative suit can be defined as a lawsuit that's brought forward by a shareholder on behalf of a corporation, to either defend or enforce a legal right (claim) against a third party such as a director or executive officer in the corporation.

Hence, to bring a derivative suit to a court of competent jurisdiction, a shareholder must own stock at the time of the injury and at the time of the suit.

what to do if the mother left y'all baby with you and she has a family protection order on you In the person bring the baby you saying they done with him

Answers

Answer:

Well kinda depend on the situation. I don't know much about this but i believe you can take it to court, if she doesn't give a good explanation that family protection order can get overruled.

I hoped this helps

What is a warranty?
(A) It is a stipulation about the contract.
(B) It is a stipulation essential to the main purpose of the contract
(C) It is a stipulation collateral to the main purpose of the contract.
(D) It is a statement of commendation by the seller.

Answers

Answer:

C) because when you give a warranty its collateral if the product is lost, breaks, and ect that why you pay a little extra money

A(n) ___ is a type of microscope that can analyze the characteristic glow of different fibers.

Answers

Is it a fluorescence microscope ?

What can people do if they feel that a law is unfair?

Answers

Answer:

Get them to sign petitions and contact their legislators. If you created a Web presence for your grassroots group, be sure to let your customers know how they can follow you on social media for the latest updates. Additionally, seek other organizations that might have a stake in defeating unfair laws.

Explanation:

Also, while the law is being passed on through all 3 branches the law must go to a vote. Therefore, if you believe the law is unfair you can vote against it.

An attempt by the seller to limit responsibility to the consumer in case anything goes wrong.

A - Disclaimer
B - Warranty
C - Defect
D - Contract

Answers

Answer:

D) A contract.. that the obvious because when you do business with anyone you would want to have a contract on deck because people play games and also so if things go wrong you have proof in court.

Which question would best be answered by studying an area’s social structure?

A.
Why are crime rates higher in that area than another area?

B.
Why are most crimes committed by men?

C.
Why do crime rates rise during the hottest part of the summer?

D.
What type of personality is more likely to commit a crime?

Answers

Answer:

I think it's option (A) Why are crime rates higher in that area than another area?

Answer:

a

Explanation:

How does Levi from aka help better understand the government

Answers

Answer:

By making it better for others

Explanation:

It’s Ryun he’s amazing ok bye

What is element identification in the legal practice?

Answers

Answer:

this is what I found online:

"Element Identification is a helpful skill to decide what action is needed…… (IE levels of research via sources and or investigation.) By taking each legal situation and breaking. From this point you may begin identifying the. legal issue of the complaint/case."

HEELLPPPPP PLEASSSEEEEEE PLEASE!!

1 Which government agency would be responsible for investigating a claim of poisoned corn?
CDC
FEMA
FDA
SAMHSA

2. FEMA is responsible for
-emergency response and disaster
management.
-detecting and investigating health problems.
-assessing the risk of terrorist attacks.
-maintaining and regulating the ICs.

3. What does the Stafford Act do?
-It provides access to federal relief funds and personnel.
-It mandates federal response to disasters.
-It defines the roles and responsibilities for those involved in catastrophic response.
-It defines the structure for response and resolution of catastrophic events.

Which of the following is an example of a technological disaster?
-a hurricane blowing houses down
-a bridge collapsing under the weight of many
trucks
-a meteorite crashing into an office building
-a tidal wave sweeping people near shore out to sea

5.What is an example of an attack for which responders were least prepared, prior to the 2001 terrorist attacks in New York?
-hijacking of a bus
-assassination of key political figures
-mass shooting at an office building
-bombing a fire station

6. NIMS dictates the emergency response should function first and foremost on the
-international level.
-state level.
-local level.
-national level.

7. Suppose that as a result of ignoring flood warnings a small town suffers massive flood damages, but the town is able to repair all damages without outside help. This scenario is best described as a
-disaster.
-crisis.
-catastrophe.
-accident.

8. Which of the following is an example of a natural disaster?
-a hazardous materials spill
-a natural gas explosion
-a nuclear leak
-a mud slide

LTE 44%

9. Which event had the greatest impact on emergency management in the U.S.?
-1984 sabotage of chemical factory in Bhopal,
India
-2005 Hurricane Katrina
-2000 fireworks factory explosion in Enschede, Netherlands
-1979 partial nuclear meltdown in Pennsylvania

10. How would you best classify an event that could result in loss of life or damage to property?
-emergency
-disaster
-hazard
-accident

Answers

Answer:

1. C

2. Either A or B

3. C

4. B

5. D

6. A

7. B

8. D

9. A its a possibility it jus may be B but i sick with A.

10. C

:)

can i get brainliest please?

What is a permanent feature if a representative form of government?​

Answers

Answer:

Elections

Explanation:

I would guess that elections are what make a representative form of government actually representative. Without elections, the ones in power would not actually represent the views of the people.

It’s safe to operate a vehicle while using tranquilizers

Answers

They work by suppressing your central nervous system, and they relax and calm you. They could, however, make driving problematic, because they are also used to treat sleeplessness. In other words, they can make you drowsy, which is not a good idea when you're behind the wheel.

Brainliest? :)

Question 10 (1 point)
Under our Constitution, some powers belong to the states. What is one power of the states?

provide schooling and education
make treaties
coin or print money
create an army

Answers

Provide School and Education
Provide school and education

____ and ____ are the two forms of contracts.

Answers

Answer:

fixed price contracts and cost-reimbursement contracts

John sold a pair of skis to Bob, making no specific warranties or promises of any kind other than letting Bob examine and try them. In fact, John did not own the skis; he had only rented them. When the true owner claimed them, Bob demanded his money back. John defended his actions by stating that he had made no warranty of any kind.

Answers

I think that bob should get his money back because John had rented the skis without any permission to sell them by the owner. Even if bob and John had made no warranty of any kind he would still need consent from the owner.

Plz answer questions 3-10 correctly, will give brainliest​

Answers

If farted in a police station is that destruction of property if my fart melted the chair

While the U.S. Constitution initially gave most of the responsibility for foreign affairs directly to the President, what is the name of the separate Department that was established within the executive branch to handle U.S. foreign relations?
Select one:
A. Commerce
B. Treasury
C. State
D. Homeland Security

Answers

the answer is C (state)

Can you sue and win if someone is black mailing you over something illegal you did. If not is there any thing else you can do to take legal action and protect yourself.

Answers

I’m not sure that you’d win the argument as you could possibly face repercussions of the act you did that was illegal...two wrongs won’t make a right basically.

Is this constitutional?

Answers

Answer:

yes,this is constitutional

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Which of the following aspects of the article is NOT thoroughly discussed?

A
how new amendments can be ratified
B
why support for the ERA diminished
C
how gender discrimination affected women
D
why some people chose not to support the ERA

Answers

Can you add a picture of the article please?

Who is most likely to follow public opinion polls to help them make decisions? Members of the House of Representative, Senators or the President? Why?

Answers

Answer:

The President is the one who is most likely to follow opinion polls when making government decisions, given that it is a one-man and clearly personalist position, which means that, in case of making decisions that are contrary to the majority opinions, it will impact decisively in its political image in the face of society. On the other hand, both the Senate and the House of Representatives are plural organisms, with which their members are less individualizable and, therefore, are less exposed to public opinion.

Answer:House of Representative members

Explanation:

Representatives run for election every two years and must constantly raise campaign money. They abide by public opinion because do not have time to explain their actions or mend fences before each election.

What is the default join type?

Answers

Ans: SQL inner join


The simplest and most common form of a join is the SQL inner join the default of the SQL join types used in most database management systems. It's the default SQL join you get when you use the join keyword by itself. The result of the SQL inner join includes rows from both the tables where the join conditions are met.

Answer:

If this is for edge....it’s A) inner

Explanation:

The primary job of the legislative branch is to

Answers

Answer:

The legislative branch drafts proposed laws, confirms or rejects presidential nominations for heads of federal agencies, federal judges, and the Supreme Court, and has the authority to declare war.

Explanation:

Hope this helps and have a wonderful day!!!

What is the governments role

Answers

Answer:to do take care of the people

Explanation:

Levi Ackerman is really amazing
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When King Maghanwasdying, he gave his best griot to whom? At Lake Clay, marine biologists catch,tag, and release 50 smallmouth bass.Over the next few days, they catch 175smallmouth bass, of which 7 have theoriginal tags. What is the estimatedpopulation of smallmouth bass in LakeClay? Folk music is a form of commercial music inspired by what other type of music?traditionalrockbluesClassical Two waves, each with an amplitude of 0.5m are superimposed with constructive interference such that they are in phase. Describe the resultant amplitude The Great Depression began when the US Stock Market crashed in 1929. The effect of the crash was felt around the world but affected different countries in different ways. How was the effect on Germany different from the effect on the United States? How did the Great Depression contribute to Hitlers rise to power? Do you know of any other economic crises since the Great Depression? What was the main reason for that crisis? 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The graph shows the amount of gas that Dario's car uses to travel different distances. please help Complete the statement about the graph In 1917, Horace Albright visited the canyon created by the Virgin River in southwestern Utah. He was amazed at the beauty of the colorful cliffs. Albright determined that this national monument would become a popular tourist destination. The official name of the monument at that time was Mukuntuweap National Monument. It had been named in honor of the Paiutes who lived in the region. Albright thought that the name was difficult to pronounce and proposed a name change. President Woodrow Wilson renamed the monument Zion National Monument, which became Zion National Park in 1919. The number of people visiting the park increased from approximately 300 in 1914 to 1,814 people in 1919.Zion National Park is known for its many hiking trails. The shortest trail leads to one of the popular destinations: Weeping Rock, a cliff face with a hanging garden. Over the years, water made its way through the Navajo sandstone of the cliff, traveling through pores and creating canyons. Eventually, the water encountered a layer of rock that was impermeable. The water was unable to continue down, so it traveled horizontally. At Weeping Rock, the water comes through the pores of the sandstone. The amount of water that flows out of the rock can be a trickle or a stream, giving the impression that the rock is crying. Vegetation grows in shaded areas of the cliff with water coming through the rock. As the plants grow out of the rock face, they give the illusion that they are hanging in the air.In the last century, word spread of Zion National Park's many natural treasures, like the Weeping Rock. Roads, trails, and visitor centers were built. More people traveled to Zion in order to hike, horseback ride, and go canyoneering. The Zion-Mount Carmel Tunnel was constructed by 1930. Visitors still use the tunnel to travel from Zion to the Grand Canyon or Bryce Canyon. Now, park rangers are facing problems created by having too many visitors. Trails and campgrounds are overused and need repairs. Visitors are straying off the trails to create their own, thereby damaging the vegetation. Rangers are considering the best ways to protect this national park and maintain its beauty for future generations.Based on the passage, how did the existence of Navajo sandstone lead to the hanging gardens? The existence of Navajo sandstone allowed water to flow through its pores, until it reached a different type of stone, moved horizontally, and came out the side of the cliff. This water was necessary for the plants to survive, leading to the hanging gardens. The existence of Navajo sandstone led to a dry, hot climate, in which plants could not grow, except those used in hanging gardens. This dry, hot climate made it difficult for many species of plants to grow, resulting in locals planting the hanging gardens. The existence of Navajo sandstone led to the creation of many holes with soil, which hanging gardens use to grow up toward the sun. These holes with soil were used by locals to plant lush hanging gardens that visitors could help maintain when they visited. The existence of Navajo sandstone showed that Native Americans used to dwell in the area by building their houses in the cliffs. In order to decorate their homes, the Native Americans planted many different types of plants in the walls near the water.