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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 30 days.
B) 45 days.
C) 1 year.
D) 60 days.

2. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective

A) for two full years.
B) until December 31st of the same year
C) for one full year.
D) until the maturity date on the bond.

3. It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

4. 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 and III only
B) I only
C) I, II, and III
D) I and II only

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a hypothecation agreement
B) a final prospectus
C) a margin agreement if the purchase is being made on margin
D) a preliminary prospectus

Solutions: