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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
B) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

2. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can immediately file an appeal of the suspension in a court of law.
B) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.
C) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
D) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.

3. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount
from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:

A) deceased option.
B) death warrant.
C) viatical settlement.
D) life straddle.

4. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can move to another state and apply for registration as an investment adviser there.
B) Sam has 45 days in which to file an appeal with the attorney general.
C) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
D) Sam has 60 days to file an appeal of the decision in a court of law.

5. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

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

Solutions: