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

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

3. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial
reports more frequently than:

A) twelve times a year.
B) four times a year.
C) twice a year.
D) once a year.

4. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue.
B) federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
C) issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale.
D) securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale.

5. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday
afternoon, issues that had been brewing between her and another employee of the firm came to a head,
and Maddie impulsively quit her job. At this point,

A) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.
B) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.
C) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration
application.
D) Maddie will have to file a new application for registration with the Administrator upon finding
employment with another broker-dealer since she is no longer considered to be a registered agent by the
state.

Solutions: