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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
B) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
C) provide the client with a written response to the complaint.
D) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.

2. It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

3. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants
Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this
particular fund to effect purchases or sales of the fund shares. Can Noah execute the order anyway?

A) No. This would be considered money laundering, which is highly illegal.
B) No. This is a prohibited practice known as selling away.
C) No. This is a prohibited practice known as front running.
D) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.

4. The Uniform Securities Act (USA) is

A) a body of laws governing the purchase and sale of securities within a single state.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) federal legislation that requires all states to adopt the same registration requirements for all
D) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with

5. Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

Solutions: