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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Both QuikDeals and Maddie are responsible for notifying the Administrator.
B) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
C) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.
D) Maddie has the sole responsibility for notifying the Administrator.

2. In order to maintain its registration with a state, a broker-dealer may be required to
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

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

3. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
was her mistake.
B) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
C) He needs to forward the check to the mutual fund within 24 hours.
D) He needs to forward the check to the mutual fund within 3 days.

4. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average
annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the
fact that the fund has returned an average annual rate of return of 6% over the past ten years.
B) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year
Treasury note.
C) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform
Securities Act.
D) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.

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

Solutions: