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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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.

2. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Friday, September 17th.
B) Saturday, September 18th.
C) Thursday, September 16th.
D) Monday, September 20th.

3. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) Mr. Bigwig
B) BigFee Investment Bankers
C) HiGrowth Corporation
D) GetErDone Broker-Dealers

4. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small & Associates is required to

A) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
B) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
D) provide the client with a written response to the complaint.

5. Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state. Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick executes trades for them when they call him from out-of-state.
Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.

A) Statements II and III are true.
B) Only Statement IV is true.
C) Only Statement I is true.
D) Statements I and III are true.

Solutions: