CATEGORY 3A 3B PESTICIDE
COMPREHENSIVE TEST PAPER 2026
COMPLETE ANSWERS ACCURATE
⫸ What powers does the Uniform Securities Act provide the
Administrator during an investigation of a violation?
Subpoena records located outside the state
Subpoena witnesses located outside the state and compel their testimony
Only subpoena records or witness located in the state
Refer violations to the Attorney General to initiate criminal prosecutions
I and II only
I, II, and III only
I and IV only
I, II, and IV only. Answer: d
The Administrator, during an investigation, may subpoena records and
witnesses, whether located in or out of state. The Administrator may
initiate criminal liability action by referring evidence to the proper
authorities (such as the attorney general of the state). An Administrator
, may suspend or revoke a registration, provided reasons are cited for such
action and the opportunity for a hearing is provided.
⫸ In which situation would the Administrator from State A have
jurisdiction over an offer?
If the offer originated in State A and is being broadcast on a radio or
television program in State A
If the offer originated outside of State A, but is being broadcast on a
radio or television program in State A
If the offer is made in a newspaper that is published in State B, but
circulated in State A
If the offer is made in a newspaper published in State A, but more than
two-thirds of the paper's circulation is outside of State A in the past year.
Answer: a
Generally, an Administrator will have jurisdiction over any offer if it
originated in that state, was directed in that state, or was accepted in the
Administrator's state. However, if the communication originated outside
the state and was in the form of a radio or television broadcast, the
Administrator would not have jurisdiction. The Administrator has
jurisdiction if the newspaper is published in that state and more than
one-third of the circulation is inside that state.
COMPREHENSIVE TEST PAPER 2026
COMPLETE ANSWERS ACCURATE
⫸ What powers does the Uniform Securities Act provide the
Administrator during an investigation of a violation?
Subpoena records located outside the state
Subpoena witnesses located outside the state and compel their testimony
Only subpoena records or witness located in the state
Refer violations to the Attorney General to initiate criminal prosecutions
I and II only
I, II, and III only
I and IV only
I, II, and IV only. Answer: d
The Administrator, during an investigation, may subpoena records and
witnesses, whether located in or out of state. The Administrator may
initiate criminal liability action by referring evidence to the proper
authorities (such as the attorney general of the state). An Administrator
, may suspend or revoke a registration, provided reasons are cited for such
action and the opportunity for a hearing is provided.
⫸ In which situation would the Administrator from State A have
jurisdiction over an offer?
If the offer originated in State A and is being broadcast on a radio or
television program in State A
If the offer originated outside of State A, but is being broadcast on a
radio or television program in State A
If the offer is made in a newspaper that is published in State B, but
circulated in State A
If the offer is made in a newspaper published in State A, but more than
two-thirds of the paper's circulation is outside of State A in the past year.
Answer: a
Generally, an Administrator will have jurisdiction over any offer if it
originated in that state, was directed in that state, or was accepted in the
Administrator's state. However, if the communication originated outside
the state and was in the form of a radio or television broadcast, the
Administrator would not have jurisdiction. The Administrator has
jurisdiction if the newspaper is published in that state and more than
one-third of the circulation is inside that state.
