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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
B) The issuer must have preferred stockholders as well as common stockholders.
C) The issuer must never have defaulted on any bond or long-term lease obligation.
D) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a

2. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a final prospectus
B) a margin agreement if the purchase is being made on margin
C) a preliminary prospectus
D) a hypothecation agreement

3. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security that is being sold in an isolated non-issuer transaction.
B) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.
C) An exempt security is any security being sold as a private placement.
D) An exempt security is one that need not be registered in the state in which it is sold.

4. Which of the following would meet the requirements for an "exempt security?"

A) a $500,000 promissory note that matures in two years
B) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
C) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
D) a $25,000 promissory note that matures in three months

5. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) The applicant has never before worked in the securities industry although he has received the requisite training.
B) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
C) Some of the information supplied on the registration application was found to be false.
D) The person has been convicted of check kiting within the past ten years.

Solutions: