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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following constitutes a non-punitive order?

A) summary license suspension
B) All of the above are punitive orders.
C) registration denial
D) registration cancellation

2. Which of the following statements about agents is (are) false?

A) All of the above are false statements.
B) When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.
C) An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
D) If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.

3. Which of the following would not fall under the classification of "institutional investor"?

A) Prudential Insurance
B) Neuring Investment Advisers
C) Franklin Templeton Mutual Funds
D) Chase Bank

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Method I only
B) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
C) Methods I and III only
D) Method II only

5. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

Solutions: