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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?

A) seven years
B) one year
C) five years
D) two years

2. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns
stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't
have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to
call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the
call. Should you execute this transaction?

A) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as
a birth certificate.
B) Yes, as long as the son is at least 21 years old and not a minor child.
C) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the
power-of-attorney to trade on his account.
D) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.

3. Which of the following entities must sign a "consent to service of process," thereby allowing the
Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

4. You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is
exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local
entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets.
He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to
take the cash balance in his account and buy shares of the local company. You should

A) do both A and B.
B) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
C) call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order
on his behalf in case Mr. Pulse decides to place the order elsewhere.
D) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.

5. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
B) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
C) Ms. Swyne must forward the complaint to the state Administrator.
D) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.

Solutions: