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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following actions is the Administrator of a state empowered to take?

A) require restitution for the victims of a scam
B) The Administrator of a state has the authority to take all of the above actions.
C) gather evidence
D) impose civil penalties in cases of fraud

2. If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A) Both B and C are true statements.
B) must notify the Administrator of the state that it has appealed the decision.
C) can continue business as usual pending the resolution of the appeal.
D) is considered to have a revoked license until the courts rule otherwise.

3. It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

4. A "market not held" order is

A) an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price.
B) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price.
C) an order to buy or sell a stock at a specified price, which differs from the current market price.
D) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer.

5. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?

A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
B) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.
D) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.

Solutions: