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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
C) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
D) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.

2. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Thursday, September 16th.
B) Saturday, September 18th.
C) Monday, September 20th.
D) Friday, September 17th.

3. Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?

A) Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies.
B) Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
C) No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.
D) No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.

4. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with
at least once a year?

A) both A and B
B) the total number of agency cross transactions completed for the client during the period
C) the number of any complaints that each of its investment adviser representatives has received during
the period
D) the total amount of commissions or other compensation that the investment adviser received or
expects to receive in connection with agency cross transactions performed for the client during the period

5. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund
that does not have a sales charge. Desi recommends a fund that has no front-
end load although it does have a deferred sales load if the investor redeems his shares within the first
three years of ownership, but the client has informed Desi that he is looking at this as a long-term
investment. Based on these facts, Desi

A) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not
apply to this client, given his indication that this is meant to be a long-term investment.
C) is in violation of NASAA rules regarding investment company shares.
D) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the
fund he has recommended in any manner.

Solutions: