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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Administrator of a state can deny an application if

A) the application is missing information.
B) the registrant has been enjoined from engaging in activities involving securities in another state.
C) the Administrator determines the applicant is not financially solvent.
D) any of the above is true.

2. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
C) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
D) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.

3. Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?

A) The victim(s) lost a combined total of at least $25,000 because of the act.
B) The Administrator decides to send the case to criminal court.
C) The perpetrator willfully committed the fraudulent act.
D) The act extended across state lines.

4. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become affiliated with Mars Broker-Dealers.
Which of the three entities must report this change to the state Administrator?

A) Skip and either Mars or Venus, but not both
B) Skip, Mars, and Venus
C) Both Skip and Venus
D) Skip only

5. Assuming the security is not registered under the Uniform Securities Act, which of the following would not be exempt from state registration?

A) a stock that is listed on the American Stock Exchange
B) a stock that is listed on the OTC Bulletin Board
C) a put option on a stock that sells in the over-the-counter market
D) a variable annuity contract offered by an insurance company with offices in the state

Solutions: