FINRA Series 63: Uniform Securities Agent State Law Exam

What is the maximum civil penalty that can be imposed by an administrator for a violation of the Uniform Securities Act?

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Correct!

Select an option above to see an explanation here.

A) This amount is double the maximum civil penalty that can be imposed by an administrator for a violation of the Uniform Securities Act. B) This amount is only a fifth of the maximum civil penalty that can be imposed by an administrator for a violation of the Uniform Securities Act. C) This amount is four times the maximum civil penalty that can be imposed by an administrator for a violation of the Uniform Securities Act. D) Maximum civil penalty is $5,000.