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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
B) Both QuikDeals and Maddie are responsible for notifying the Administrator.
C) Maddie has the sole responsibility for notifying the Administrator.
D) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.

2. Which of the following would not be found in a tombstone advertisement?

A) the interest rate and time to maturity of a bond issue
B) the price at which the security will be offered
C) the names of the underwriters
D) the name of the issuer

3. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend
date, so that the client will receive the dividends when they are distributed. In which of the following
situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security
check.

A) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund
prior to its ex-dividend date.
B) I only
C) III only
D) I and II only

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
B) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
C) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.

5. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

Solutions: