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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 30 days.
B) one year.
C) 60 days.
D) 90 days.

2. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a hearing regarding the revocation of his license for making unauthorized trades on some of his clients' accounts.
Which of the following statements is necessarily true?

A) The Administrator of the state can assess Ari with both civil and criminal penalties.
B) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files the appeal within sixty days.
C) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
D) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.

3. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
B) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
C) An investment adviser keeps a client's securities in its safety deposit box.
D) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.

4. 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 stock that is listed on the OTC Bulletin Board
D) a variable annuity contract offered by an insurance company with offices in the state

5. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the Administrator?

A) Maddie has the sole responsibility for notifying the Administrator.
B) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be an agent after she terminated her relationship with QuikDeals, so she need do nothing.
C) Both QuikDeals and Maddie are responsible for notifying the Administrator.
D) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.

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