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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B) participates in the selling of the new stock to individual investors.
C) Jack will need to register as a sales representative if he performs any one of the above activities.
D) represents NewCorp in any transactions with financial institutions.

2. Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state.
Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick
executes trades for them when they call him from out-of-state. Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.

A) Only Statement I is true.
B) Only Statement IV is true.
C) Statements I and III are true.
D) Statements II and III are true.

3. 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) 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.
C) 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.
D) Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements.

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

5. Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?

A) a statement of the investment policy that has been agreed upon between the adviser and the client
B) the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients.
C) if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period
D) a statement stipulating that the contract cannot be assigned to another party without the client's
consent

Solutions: