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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. "T + 3" refers to

A) the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
B) the form that is filled out and sent to the client confirming that the trade has been executed.
C) a procedure to minimize the potential for money laundering.
D) 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.

2. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) agent.
B) broker-dealer.
C) investment company.
D) investment adviser.

3. Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

4. Which of the following is not a prohibited practice for a broker-dealer?

A) recommending a security to a new client without first ascertaining that client's level of risk tolerance
B) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
C) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
D) executing a trade for an account holder based on instructions from the account holder's spouse

5. Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA
rating, are exempt from registration with the state.
B) Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements.
C) Registration by qualification is the preferred method used by issuers since it requires the least amount
of paperwork.
D) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of
information about both the firm and its directors, officers, and major shareholders.

Solutions: