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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
B) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with

2. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.

3. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

4. Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?

A) SEC
B) the state administrator
C) NASAA
D) FINRA

5. Which of the following statements about agents is (are) false?

A) When an agent has a change of address, both he and his broker-dealer affiliate must inform the
Administrator.
B) If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the
Administrator believes it is "in the public interest" to do so.
C) An agent must demonstrate a specific minimum level of financial stability for his registration application
to be accepted.
D) All of the above are false statements.

Solutions: