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Series 63: Remedies & Administrative Provisions
Series 63 practice questionmediumEnforcement of subpoenas in other states

An Administrator in State W issues a subpoena to a firm located in State V for records related to sales to a State W resident. The firm refuses to comply. Which statement is MOST accurate?

  1. AState W's Administrator must petition a court in State V to enforce the subpoena.
  2. BState W's Administrator may enforce the subpoena directly in State V.
  3. CState W's Administrator must seek assistance from State V's Administrator or courts.✓ Correct answer
  4. DState W's Administrator has no recourse if the firm is out-of-state.
Explanation

Why CState W's Administrator must seek assistance from State V's Administrator or courts.

The keyed answer C is the most complete. The issuing Administrator cannot directly enforce the subpoena in another state; the Administrator may seek assistance from the other state's Administrator under USA Section 407(e) or pursue enforcement through a court with jurisdiction.

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