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

2. Which of the following is not a prohibited practice for a broker-dealer?

A) executing a trade for an account holder based on instructions from the account holder's spouse
B) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
C) recommending a security to a new client without first ascertaining that client's level of risk tolerance
D) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account

3. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?

A) BigCash must file a new application with the state to register its new subsidiary and must also pay the
annual filing fees required by the Administrator.
B) BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.
C) BigCash must file a new application with the state to register its new subsidiary, but will be able to
utilize the remainder of any annual filing fees that Target Investments had paid for the year.
D) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.

4. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and
executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

A) an investment adviser.
B) a broker-dealer.
C) an investment adviser representative.
D) an agent.

5. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five years after the violation.
B) the earlier of two years after the discovery of facts and three years after the sale.
C) the earlier of two years after the discovery of the facts and four years after the violation.
D) three years after the discovery of the facts and four years after the violation, whichever is greater.

Solutions: