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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five years after the violation.
B) the earlier of two years after the discovery of facts and three years after the sale.
C) the earlier of two years after the discovery of the facts and four years after the violation.
D) three years after the discovery of the facts and four years after the violation, whichever is greater.

2. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) one year.
B) 90 days.
C) 60 days.
D) 30 days.

3. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 5 years in prison or a $10,000 fine, or both.
B) license cancellation.
C) license suspension.
D) up to 3 years in prison or a $5,000 fine, or both.

4. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

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: