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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. "T + 3" refers to

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

2. The state official who has regulatory authority over the securities industry within the state is known as the

A) investor-protection officer.
B) attorney-general.
C) administrator.
D) secretary of state.

3. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
C) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
D) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.

4. Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within

A) 14 business days.
B) 45 days.
C) 10 business days.
D) 30 days.

5. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a corporation
B) a school district
C) a law firm that is organized as a partnership
D) a 16-year old cheerleader

Solutions: