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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
C) Both A and C can be advertised as "no load" funds.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.

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) can continue business as usual pending the resolution of the appeal.
B) is considered to have a revoked license until the courts rule otherwise.
C) Both B and C are true statements.
D) must notify the Administrator of the state that it has appealed the decision.

3. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

4. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are
licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey
is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer
with an office just across the state line. Don can enter a commission-splitting agreement with

A) Dewey only.
B) either Huey or Dewey or both
C) Huey only.
D) Either Huey, Dewey, or Louie or any combination of the three

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) Both QuikDeals and Maddie are responsible for notifying the Administrator.
C) 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.
D) 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.

Solutions: