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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 in an isolated non-issuer transaction.
C) 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.
D) An exempt security is one that need not be registered in the state in which it is sold.

2. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,

A) you can simply find another broker-dealer to hire you and have your license transferred to him.
B) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
C) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
D) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.

3. No: 167
A "market not held" order is

A) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
B) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
C) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
D) an order to buy or sell a stock at a specified price, which differs from the current market price.

4. A broker-dealer is required to keep his records for how long?

A) at least five years
B) at least seven years
C) at least three years
D) broker-dealer is required to keep his records for as long as he is registered in the state.

5. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A) the number of any complaints that each of its investment adviser representatives has received during the period
B) the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
C) both A and B
D) the total number of agency cross transactions completed for the client during the period

Solutions: