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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) two years from discovery or three years from the event, whichever comes first.
B) one year from discovery.
C) three years from discovery or five years from the event, whichever comes first.
D) five years.

2. In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser
has a column in which the publisher makes specific investment recommendations for clients who write in
for advice. About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

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

3. Most individual state securities laws today are based on:

A) the Uniform Securities Act of 1956.
B) the Uniform Securities Act of 2002.
C) the Gramm-Leach-Bliley Act of 1999.
D) the National Securities Markets Improvement Act of 1996.

4. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

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

5. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.
B) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.

Solutions: