Series 63 practice questioneasyCriminal Penalties—Role of Administrator
Which of the following statements about the role of the Administrator in criminal enforcement is TRUE under the USA?
- AThe Administrator may directly impose criminal penalties
- BOnly a court can impose criminal penalties; the Administrator refers evidence to prosecutors✓ Correct answer
- CThe Administrator can imprison violators without a trial
- DThe Administrator can waive criminal penalties at their discretion
Explanation
Why B — Only a court can impose criminal penalties; the Administrator refers evidence to prosecutors
The Administrator may investigate and refer evidence of willful violations for prosecution, but only courts impose criminal penalties (Sections 406–409).
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