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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.
B) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.
C) Both A and C can be advertised as "no load" funds.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.

2. The Uniform Securities Act (USA) is

A) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) a body of laws governing the purchase and sale of securities within a single state.
D) federal legislation that requires all states to adopt the same registration requirements for all.

3. Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.

A) II and III only
B) I, II, and III
C) I only
D) I and III only

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) one-fourth of the annual fee required since only one quarter of the year remains.
B) the full annual fee, and your license will expire on December 31st next year.
C) the full annual fee, and your license will expire on December 31st this year.
D) the full annual fee, and your license will expire on September 30th next year.

5. In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management

A) II and III only
B) All of the selections meet the qualifications of a federal covered adviser.
C) I and III only
D) I and II only

Solutions: