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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?

A) a savings institution that is insured by the FDIC
B) a bank that is insured by a private, state-sponsored insurance company
C) a broker-dealer that is registered with the state
D) a foreign financial institution

2. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) all sales and advertising materials that will be used in conjunction with the offering.
B) the agreement among the underwriters themselves
C) the agreement between the issuing firm and the underwriters
D) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.

3. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
B) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
C) provide the client with a written response to the complaint.
D) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.

4. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of
whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact
from its prospectus. Turnover is guilty of

A) misusing insider information.
B) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
C) misrepresentation.
D) fraud.

5. When a client has purchased securities on margin, the broker-dealer

A) Both B and C are correct statements.
B) may require that the client leave all his securities, even those not purchased on margin, in street name.
C) may use any securities that the client purchased on margin as collateral for a loan from a bank upon
receiving a written agreement signed by the client.
D) must keep the securities that the client paid cash for separate from the securities that the client
purchased on margin.

Solutions: