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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 OTC Bulletin Board
C) a stock that is listed on the American Stock Exchange
D) a put option on a stock that sells in the over-the-counter market

2. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment adviser.
B) agent.
C) broker-dealer.
D) investment company.

3. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry, charging its clients for investment advice for additional remuneration. One of the firm's clients has been advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in these securities in the secondary market.
Which of the following statements is true?

A) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and receives the client's written consent before the transaction is settled.
B) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the part of the seller in the transaction.
C) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
D) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would be a conflict of interest.

4. Which of the following laws deals with identity theft protection?

A) Regulation S-P
B) the Bank Secrecy Act (BSA)
C) ERISA
D) the USA Patriot Act

5. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an administrative hearing on the order.
Which of the following statements is true regarding Ina's situation?

A) Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.
B) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of her request and may not continue working with clients unless the Administrator vacates the order until final determination.
C) Ina can make a written request that a hearing on the issue be scheduled within ten business days of her request and may continue working with clients while waiting for her day in court.
D) Ina can immediately file an appeal of the suspension in a court of law.

Solutions: