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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Most individual state securities laws today are based on:

A) the National Securities Markets Improvement Act of 1996.
B) the Gramm-Leach-Bliley Act of 1999.
C) the Uniform Securities Act of 2002.
D) the Uniform Securities Act of 1956.

2. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a futures option contract on wheat
B) a debenture
C) a term life insurance policy
D) Both A and B are securities as defined by the Uniform Securities Act.

3. 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 are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
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 can simply find another broker-dealer to hire you and have your license transferred to him.

4. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
B) securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
C) both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
D) federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.

5. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

A) I or III only
B) I, II or III
C) I only
D) I or II only

Solutions: