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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he:

A) participates in the selling of the new stock to individual investors.
B) Jack will need to register as a sales representative if he performs any one of the above activities.
C) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
D) represents NewCorp in any transactions with financial institutions.

2. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

3. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Friday, September 24th.
B) Monday, September 27th.
C) Thursday, September 23rd.
D) Tuesday, September 28th.

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

5. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) "The SIPC is a government agency created by an Act of Congress to combat fraud."
B) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
C) The SIPC is the FDIC of the stock and bond markets."
D) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."

Solutions: