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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) None of the selections listed are securities.
B) Only Selection III is not a security.
C) Selections II, III and IV are not securities.
D) Only Selections II and III are not securities.

2. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) I and III only
B) None of the selections are prohibited practices.
C) III only
D) II and III only

3. If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A) is considered to have a revoked license until the courts rule otherwise.
B) Both B and C are true statements.
C) can continue business as usual pending the resolution of the appeal.
D) must notify the Administrator of the state that it has appealed the decision.

4. Which of the following would not appear on an order ticket?

A) the account number of the client buying or selling the security
B) the settlement date
C) the agent's commission
D) the stock symbol

5. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and
executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

A) an agent.
B) an investment adviser representative.
C) an investment adviser.
D) a broker-dealer.

Solutions: