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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Selections II, III and IV are not securities.
B) Only Selection III is not a security.
C) None of the selections listed are securities.
D) Only Selections II and III are not securities.

2. Which of the following is not a method that can be used to register securities with the state?

A) registration by coordination
B) registration by qualification
C) registration by notification
D) registration by exception

3. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) the settlement date.
C) the day after the trade takes place.
D) five business days after the settlement date.

4. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

5. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
B) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
C) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.
D) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.

Solutions: