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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered in every state in which the bonds will be sold to investors.
B) None of the above statements is true.
C) they must be registered with the SEC and in each state through which the railroad passes.
D) they must be registered with the SEC since railroads are involved in interstate commerce.

2. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 1 year.
B) 30 days.
C) 60 days.
D) 45 days.

3. You are a newly licensed agent and are making cold calls to generate business. According to the
Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
C) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 9 p.m., based on your time zone.

4. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Maddie has the sole responsibility for notifying the Administrator.
B) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.
C) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
D) Both QuikDeals and Maddie are responsible for notifying the Administrator.

5. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

Solutions: