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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not appear on an order ticket?

A) the agent's commission
B) the account number of the client buying or selling the security
C) the settlement date
D) the stock symbol

2. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year
Treasury note.
B) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average
annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the
fact that the fund has returned an average annual rate of return of 6% over the past ten years.
C) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.
D) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform
Securities Act.

3. An investment adviser or its representative may

A) exercise discretionary power in the purchase or sale of securities for a client's account only after
B) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
C) exercise discretionary power in the purchase or sale of securities for a client's account as long as
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

4. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return
information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent
III. information regarding the investment adviser used by the fund
IV. an explanation of the various loads and fees outlined in the fund's prospectus

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

5. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have preferred stockholders as well as common stockholders.
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
C) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
D) The issuer must never have defaulted on any bond or long-term lease obligation.

Solutions: