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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

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

2. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns
stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't
have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to
call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the
call. Should you execute this transaction?

A) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as
a birth certificate.
B) Yes, as long as the son is at least 21 years old and not a minor child.
C) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the
power-of-attorney to trade on his account.
D) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.

3. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
C) a credit union that operates within the state and provides loans to its members
D) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.

4. Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.

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

5. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
B) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
C) Wheeler need not register in the state, and the securities are also exempt from registration.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.

Solutions: