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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) Gramm-Leach-Bliley Act of 1999 (GLBA.)
B) National Conference of Commissioners on Uniform State Laws (NCCUSL.)
C) National Securities Markets Improvement Act of 1996 (NSMI)
D) Uniform Securities Act (USA.)

2. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 30 days.
B) 60 days.
C) 90 days.
D) one year.

3. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You tell her that you can do this for her, but only if you execute it as a margin transaction.
C) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
D) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.

4. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.
B) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
C) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.
D) Ina can immediately file an appeal of the suspension in a court of law.

5. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) do nothing about it.
B) sue CanDo for not getting him the best price of the day-or anything close to it.
C) refuse to pay CanDo commissions for the purchase.
D) refuse to pay for the stock on the settlement date.

Solutions: