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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
B) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
C) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
D) No. Carrie is just donating some of her commissions back to the church, and transactions with

2. For how long after the effective date is a security's registration valid?

A) one year
B) six months
C) three months
D) two years

3. You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) three years from discovery or five years from the event, whichever comes first.
B) two years from discovery or three years from the event, whichever comes first.
C) one year from discovery.
D) five years.

4. A margin transaction refers to a transaction

A) that is illegal under the guidelines of the Uniform Securities Act.
B) in which the client borrows some of the money that he is investing.
C) in which a registered agent makes trades on a customer's account without that customer's knowledge.
D) Both A and C are true statements.

5. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed on the Tokyo Stock Exchange
B) a bond guaranteed by the Canadian government
C) a bond issued by another state's employees' credit union
D) a stock listed as a NASDAQ National Market Issue.

Solutions: