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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A "market not held" order is

A) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer.
B) an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price.
C) an order to buy or sell a stock at a specified price, which differs from the current market price.
D) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price.

2. 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) Both B and C are true statements.
C) can continue business as usual pending the resolution of the appeal.
D) is considered to have a revoked license until the courts rule otherwise.

3. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser
representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) January 30th of the new year.
B) the anniversary date of the original issue date on your license.
C) December 31st of this year.
D) January 15th of the new year.

4. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

5. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Maddie has the sole responsibility for notifying the Administrator.
B) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.
C) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
D) Both QuikDeals and Maddie are responsible for notifying the Administrator.

Solutions: