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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A bond issue has recently been registered with the state Administrator. Which of the following statements
are true?

A) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for
sale in the future will be able be sold after the issuer executes a notice filing.
B) The bond may now be offered for sale in the state.
C) Both A and B are true statements.
D) An investor can feel secure in buying the bond because it has recently been registered, which means
that the state Administrator finds it to be of sound quality at this point in time.

2. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 1 year.
B) 10 years.
C) 2 years.
D) 5 years.

3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
B) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.
C) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
D) Yes. Agents are not permitted to include a picture of themselves on their business cards.

4. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

5. Which of the following statements regarding an open-end investment company is not true?

A) Its shares are bought and sold on exchange floors.
B) Its securities are federal covered.
C) Its shares are bought and sold through the company.
D) Its shares may sell for either net asset value or greater than net asset value, but not below

Solutions: