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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Monday, August 16th.
B) Friday, August 13th.
C) Tuesday, August 10th.
D) Wednesday, August 11th.

2. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must never have defaulted on any bond or long-term lease obligation.
B) The issuer must have preferred stockholders as well as common stockholders.
C) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
D) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the

3. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A) $6,200.
B) $5,200.
C) $5,900.
D) $6,000.

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

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

5. "T + 3" refers to

A) a procedure to minimize the potential for money laundering.
B) the form that is filled out and sent to the client confirming that the trade has been executed.
C) the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
D) the form, also known as a "trade ticket," that is filled out when an order is entered into the market.

Solutions: