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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A margin transaction refers to a transaction

A) in which a registered agent makes trades on a customer's account without that customer's knowledge.
B) in which the client borrows some of the money that he is investing.
C) Both A and C are true statements.
D) that is illegal under the guidelines of the Uniform Securities Act.

2. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to forward the check to the mutual fund within 24 hours.
B) He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
was her mistake.
C) He needs to forward the check to the mutual fund within 3 days.
D) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.

3. You are a newly licensed agent and are making cold calls to generate business. According to the
Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
C) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 9 p.m., based on your time zone.

4. "T + 3" refers to

A) the form that is filled out and sent to the client confirming that the trade has been executed.
B) the fact that the settlement date will be three business days after the trade date, which is the "regular
way settlement" for transactions involving stocks and corporate and municipal bonds.
C) the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
D) a procedure to minimize the potential for money laundering.

5. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

Solutions: