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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 5 years.
B) 2 years.
C) 10 years.
D) 1 year.

2. Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns
on trades he executes. He has applied for and been granted an adjunct teaching position with a local
university that will allow him to earn money while he is establishing himself. Which of the following
statements are true?

A) Both A and B are true.
B) Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any
other business activity at will.
C) CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
D) As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to
accepting it.

3. 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) I, II, III, or IV
B) I or III only
C) I, III or IV only
D) III or IV only

4. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
B) Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
C) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.
D) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.

5. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
B) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
C) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
D) Nancy can sell the stock without a problem as executrix of her aunt's estate.

Solutions: