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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Wednesday, August 11th.
B) Tuesday, August 10th.
C) Monday, August 16th.
D) Friday, August 13th.

2. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA)?

A) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA.)
B) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client
forms that contain confidential information, and directing calls to registered representatives of the firm.
C) Freedom broker-dealers executes the purchase and sale of securities for its customers.
D) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.

3. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a deferred annuity
B) an S&P 500 Index mutual fund
C) a high quality corporate bond fund
D) a Treasury Inflation Protected Security (TIPS)

4. If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?

A) one year
B) five years
C) seven years
D) two years

5. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a put option on a stock that sells in the over-the-counter market
B) a stock that is listed on the American Stock Exchange
C) a variable annuity contract offered by an insurance company with offices in the state
D) a stock that is listed on the OTC Bulletin Board

Solutions: