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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
D) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.

2. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
B) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
C) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

3. In order to maintain its registration with a state, a broker-dealer may be required to
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

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

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

5. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as
C) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
D) exercise discretionary power in the purchase or sale of securities for a client's account only after

Solutions: