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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not
complied with all the stipulated requirements.

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

2. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) agent.
B) investment adviser.
C) broker-dealer.
D) investment company.

3. Blue Sky Laws are designed to:

A) enhance the tourism industry within a state.
B) protect agents, broker-dealers, and investment advisers and their representatives from spurious
allegations of fraudulent activity.
C) protect investors from fraud in their securities market transactions.
D) favor investment in companies that engage in environmentally friendly practices.

4. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a final prospectus
B) a preliminary prospectus
C) a hypothecation agreement
D) a margin agreement if the purchase is being made on margin

5. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C) exercise discretionary power in the purchase or sale of securities for a client's account only after
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as

Solutions: