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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would be considered an "issuer" transaction?

A) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
B) None of the above is an "issuer" transaction.
C) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
D) Kim sells an AT&T bond she holds that still has three years remaining to maturity.

2. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) for twelve months.
B) for three years.
C) until December 31st.
D) for five years.

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. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

5. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to forward the check to the mutual fund within 3 days.
B) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
C) He needs to forward the check to the mutual fund within 24 hours.
D) He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.

Solutions: