Under the Uniform Securities Act, during an investigation, the Administrator may:A. require an affidavit from an agent of a broker-dealerB. subpoena books, records and witnessesC. require testimony that might tend to incriminate the giverD. all of the above

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Business

Rayan Wong

3 February, 01:49

Under the Uniform Securities Act, during an investigation, the Administrator may:A. require an affidavit from an agent of a broker-dealerB. subpoena books, records and witnessesC. require testimony that might tend to incriminate the giverD. all of the above

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Answers (1)

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Amari Schwartz · Answer 1

D. all of the above

Explanation:

The Uniform Securities Act is a law related to values; to prohibit fraudulent practices in relation to values; to require the registration of broker-dealers, agents, investment and securities advisors; and to make the values uniform.