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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) 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.
B) an agent who executes the purchase and sale of stocks and bonds for his clients
C) 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
D) a credit union that operates within the state and provides loans to its members

2. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?

A) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.
B) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts.
C) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending.
D) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending.

3. Registration by coordination is provided for by which of the following federal securities acts?

A) Investment Advisers Act of 1940
B) Investment Company Act of 1940
C) Securities and Exchange Act of 1934
D) Securities Act of 1933

4. A broker-dealer cannot legally be

A) an individual.
B) a sole-proprietorship.
C) a partnership.
D) A broker-dealer can be any of the above.

5. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
B) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
C) Nancy can sell the stock without a problem as executrix of her aunt's estate.
D) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.

Solutions: