Series 63 practice questionmediumCourt actions by Administrator
If a person violates a cease and desist order, the Administrator may:
- AApply to the courts for enforcement of the order.✓ Correct answer
- BImpose criminal penalties directly.
- CImpose civil penalties directly.
- DFile criminal charges without court involvement.
Explanation
Why A — Apply to the courts for enforcement of the order.
The Administrator must apply to the courts to enforce cease and desist orders (USA Sec 408). They cannot impose criminal or civil penalties directly.
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