Only need to practice for 20 to 30 hours

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Simulate the real exam

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Although an Administrator has broad powers, he or she cannot:

A) formulate rules and orders.
B) issue subpoenas involving compulsory attendance.
C) deliver a judicial injunction.
D) gather evidence.

2. Most individual state securities laws today are based on:

A) the Gramm-Leach-Bliley Act of 1999.
B) the National Securities Markets Improvement Act of 1996.
C) the Uniform Securities Act of 1956.
D) the Uniform Securities Act of 2002.

3. A variable annuity is:

A) a security, but is exempt from state registration.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) not a security, but is still required to be registered with the state before it can be offered for sale.
D) not a security and, therefore, does not have to be registered with the state.

4. For how long after the effective date is a security's registration valid?

A) six months
B) three months
C) one year
D) two years

5. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

Solutions: