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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A variable annuity is:

A) a security, but is exempt from state registration.
B) not a security, but is still required to be registered with the state before it can be offered for sale.
C) not a security and, therefore, does not have to be registered with the state.
D) a security and, therefore, has to be registered with the state before it can be offered for sale.

2. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

3. Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

4. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) National Conference of Commissioners on Uniform State Laws (NCCUSL.)
B) National Securities Markets Improvement Act of 1996 (NSMIA.)
C) Gramm-Leach-Bliley Act of 1999 (GLBA.)
D) Uniform Securities Act (USA.)

5. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is serving as the qualified custodian of the client's funds.
If the investment adviser wants to avoid being considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which
C) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to his client.
D) Record what securities were sent, when he received them, and when he forwarded them--which must be within three business days-to his client.

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