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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) for five years.
B) for three years.
C) until December 31st.
D) for twelve months.

2. Registration by coordination is provided for by which of the following federal securities acts?

A) Securities and Exchange Act of 1934
B) Investment Advisers Act of 1940
C) Investment Company Act of 1940
D) Securities Act of 1933

3. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security being sold as a private placement.
B) An exempt security is any security that is being sold by an institutional investor, such as a bank, to
another institutional investor, such as another bank or an insurance company.
C) An exempt security is any security that is being sold in an isolated non-issuer transaction.
D) An exempt security is one that need not be registered in the state in which it is sold.

4. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) a credit union that operates within the state and provides loans to its members
C) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
D) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.

5. Which of the following is not a prohibited practice for a broker-dealer?

A) recommending a security to a new client without first ascertaining that client's level of risk tolerance
B) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
C) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
D) executing a trade for an account holder based on instructions from the account holder's spouse

Solutions:

Question # 1 Answer: C

Question # 2 Answer: D

Question # 3 Answer: D

Question # 4 Answer: D

Question # 5 Answer: B