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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become affiliated with Mars Broker-Dealers.
Which of the three entities must report this change to the state Administrator?

A) Skip only
B) Skip, Mars, and Venus
C) Skip and either Mars or Venus, but not both
D) Both Skip and Venus

2. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high. She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place today because she believes Google's price is just going to keep rising with only the occasional daily ups and downs. She wants you to use your discretion and try to get her the best price for the stock in today's trading session.
Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You have to tell her that you can't do this without a signed discretionary authorization from her, and there's none on file.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the mail before she boards the plane. As long as the written authorization is in the mail, you can place the order.

3. o: 52
Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.
B) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.
C) Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.
D) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.

4. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

A) I and III only
B) II and III only
C) I and II only
D) I, II and III

5. Assuming the security is not registered under the Uniform Securities Act, which of the following would not be exempt from state registration?

A) a variable annuity contract offered by an insurance company with offices in the state
B) a stock that is listed on the American Stock Exchange
C) a stock that is listed on the OTC Bulletin Board
D) a put option on a stock that sells in the over-the-counter market

Solutions: