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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. George Geek is a computer programmer who tired of working for others and started his own company. He
convinced forty investors that he could design software that would rival Microsoft, and sold them each a
1 0% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates
himself. George told the investors that he had a product that was on the verge of being marketable and
that when it did-within the next two months-revenues would pour into the company, and he would begin
paying dividends. He told them they could expect a 20% return on their money this year, with even higher
returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was,
and he wasn't able to get all the bugs out of the program to make it marketable within the promised two
months. Within a year, George had tired of the project and was too busy picking up chicks in his new
Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach
mansion-and picking up chicks. His activities, of course, were financed by the extremely generous
"salary" he paid himself from the investors' monies. Under the Uniform Securities Act, do the investors
have any civil claims against George?

A) Yes. They can sue George for the return of their original investment, plus interest. George would
B) No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for
C) Yes. They can sue George for the return of their original investment, plus interest. George would also
have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and
suffering" on the parts of the clients.
D) No. The Uniform Securities Act only involves securities laws and partnership interests are not

2. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

3. The trade confirmation must be received by the customer no later than

A) the day after the trade takes place.
B) five business days after the settlement date.
C) the settlement date.
D) one week after the settlement date.

4. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
D) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.

5. The settlement date refers to

A) the date the order to purchase or sell the security is sent to the market.
B) the date the order to purchase or sell a security is actually executed. This may differ from the date that
the order is sent to the market in the cases of limit or stop orders.
C) the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.
D) the date the buyer must pay for the securities purchased.

Solutions: