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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) The Administrator of the state can assess Ari with both civil and criminal penalties.
B) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
C) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
D) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.

2. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

3. 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.

4. 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.

5. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) testimonials of satisfied clients
B) a free financial planning kit, with no obligation on the part of the potential client
C) a free initial consultation, with no obligation on the part of the potential client
D) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance

Solutions: