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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. o: 52
Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.
B) Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.
C) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.
D) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.

2. Which of the following is not a prohibited practice for a broker-dealer?

A) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
B) executing a trade for an account holder based on instructions from the account holder's spouse
C) recommending a security to a new client without first ascertaining that client's level of risk tolerance
D) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"

3. In order to maintain its registration with a state, a broker-dealer may be required to:
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

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

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

5. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?

A) BigCash must file a new application with the state to register its new subsidiary, but will be able to utilize the remainder of any annual filing fees that Target Investments had paid for the year.
B) BigCash need do nothing since Target Investments was already duly registered with the state as a broker-dealer.
C) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.
D) BigCash must file a new application with the state to register its new subsidiary and must also pay the annual filing fees required by the Administrator.

Solutions: