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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other services for the agent.

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

2. A broker-dealer is required to keep his records for how long?

A) at least three years
B) at least seven years
C) broker-dealer is required to keep his records for as long as he is registered in the state.
D) at least five years

3. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
B) a certificate of deposit (CD)
C) a debenture
D) a put option

4. A "notice filing" refers to

A) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
B) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.
C) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
D) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.

5. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
B) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
C) a $500,000 promissory note that matures in two years
D) a $25,000 promissory note that matures in three months

Solutions: