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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements.
B) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA
rating, are exempt from registration with the state.
C) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of
information about both the firm and its directors, officers, and major shareholders.
D) Registration by qualification is the preferred method used by issuers since it requires the least amount
of paperwork.

2. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family
of load funds that it encourages its representatives to promote. Representatives of the firm that sell
shares in these funds to their clients receive a greater share of the load than they do if they sell load funds
offered by other firms. Based on these facts, which of the following statements is true?

A) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them
and has a fiduciary responsibility to them.
B) John must provide his clients with a written disclosure that he will receive a greater remuneration for
selling shares in the Load family of funds than if he sells them shares in other funds before he provides his
clients with any investment advice.
C) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is
an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure
requirement necessary if the recommendation is a sound one that can be proved to be based on the
client's specific situation.
D) Both A and B are true.

3. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.
B) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.
C) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
D) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.

4. Which of the following laws deals with identity theft protection?

A) the USA Patriot Act
B) Regulation S-P
C) the Bank Secrecy Act (BSA)
D) ERISA

5. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
B) No. Carrie is just donating some of her commissions back to the church, and transactions with
C) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
D) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with

Solutions: