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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?

A) The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time.
B) The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed.
C) The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble.
D) The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come.

2. Which of the following would not fall under the classification of "institutional investor"?

A) Prudential Insurance
B) Franklin Templeton Mutual Funds
C) Neuring Investment Advisers
D) Chase Bank

3. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) There is no specified turnover ratio assigned to the prohibited practice of churning.
B) four.
C) five.
D) eight.

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

5. A variable annuity is:

A) not a security and, therefore, does not have to be registered with the state.
B) not a security, but is still required to be registered with the state before it can be offered for sale.
C) a security, but is exempt from state registration.
D) a security and, therefore, has to be registered with the state before it can be offered for sale.

Solutions: