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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The settlement date refers to

A) the date the buyer must pay for the securities purchased.
B) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
C) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
D) the date the order to purchase or sell the security is sent to the market.

2. Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) Selection I only
B) Selection I and III only
C) Selection III only
D) All of the selections would be exempt from state registration requirements under the Uniform

3. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.
Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?

A) Yes. Even an "offer" to sell securities must not contain any untruths.
B) No. An interest in a partnership is not considered a security.
C) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.
D) No. It is not against the law to believe in oneself and promote one's ideas.

4. Which of the following may be given to prospective investors during the "cooling off period?"

A) all of the above
B) a tombstone advertisement
C) a final prospectus
D) a copy of the registration statement

5. Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within

A) 10 business days.
B) 14 business days.
C) 30 days.
D) 45 days.

Solutions: