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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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

2. The settlement date refers to

A) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
B) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
C) the date the buyer must pay for the securities purchased.
D) the date the order to purchase or sell the security is sent to the market.

3. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a futures option contract on wheat
B) Both A and B are securities as defined by the Uniform Securities Act.
C) a term life insurance policy
D) a debenture

4. S. White and Associates is an investment adviser registered in the state of Kentucky and, as such, is meeting Kentucky's minimum net capital requirement for investment advisers. The firm recently registered with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital requirement for its investment advisers.
Which of the following statements is true?

A) According to the Uniform Securities Act, S. White will have to meet Virginia's higher requirement.
B) According to the Investment Advisers Act of 1940, S. White needs only to meet the net capital requirement of Kentucky.
C) According to the Investment Advisers Act of 1940, S. White will have to maintain a minimum net capital equal to the average of the net capital requirements of the two states.
D) According to the Securities Exchange Act of 1934, S. White needs to meet at least the minimum net capital requirement specified by that Act since it is now operating in multiple states.

5. You are a newly licensed agent and are making cold calls to generate business. According to the Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 9 p.m., based on your time zone.
C) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 7 p.m., based on the Pacific Time Zone.

Solutions: