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

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

A) Freedom broker-dealers executes the purchase and sale of securities for its customers.
B) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
C) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)
D) 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.

3. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,

A) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
B) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.
C) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
D) Needy is in violation of securities laws by acting as an issuer of securities.

4. on No: 9
Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide investment recommendations as well as other financial news items to the general public. Rich hopes that his newsletter will achieve nationwide circulation within a few months.
Which of the following statements is true?

A) Rich will have to register as an investment adviser since his publication will include investment recommendations.
B) Rich may be exempt from registering as an investment adviser if he is a lawyer, accountant, engineer, or teacher. Otherwise, he will have to register.
C) Rich will have to register as an investment adviser only if he sells this newsletter to the public. If the publication is to be distributed free of charge, he will not have to register.
D) Rich will not have to register as an investment adviser since he is publishing a legitimate financial newsletter for distribution to the general public.

5. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect & Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the Administrator of Massachusetts for registration as an agent.
Can Trevor execute purchases and sales for clients while his registration is still pending?

A) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
B) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted, Trevor may not affect any securities transactions in Massachusetts.
C) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration is pending.
D) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is registered in the state of Massachusetts, he is not restricted from executing trades.

Solutions: