Chapter 4- Administrative Procedures Flashcards
1
Q
Explain the administrator scope of authority
A
F
2
Q
Differentiate Between offers in sales
A
Off
3
Q
Recognize the items that are specifically excluded as offers and sales
A
H
4
Q
Identify prohibited transactions
A
N
5
Q
Identify the situations when the administrator has jurisdiction & when they have jurisdiction outside the state
A
C
6
Q
Explain the difference between offer and acceptance
A
Rh
7
Q
Recall the powers of the administrator
A
H
8
Q
List the rights of the administrator
A
B
9
Q
Define civil liabilities and criminal penalties
A
X
10
Q
Determine the rights of recovery under civil liabilities
A
B
11
Q
Explain the rules for proper handling of customer funds and securities
A
H
12
Q
Define letter of recession
A
H
