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FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?
A) Nancy can sell the stock without a problem as executrix of her aunt's estate.
B) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.
C) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
D) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
2. Once a broker-dealer has applied for and been granted state registration, the registration remains valid
A) for five years.
B) for twelve months.
C) until December 31st.
D) for three years.
3. 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) 1 year.
B) 30 days.
C) 60 days.
D) 45 days.
4. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
A) I and II only
B) I, II and III
C) II and III only
D) I and III only
5. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can
A) use testimonials from any of the players who willingly provide them without compensation.
B) list the names of the players he's advising as long as he has their written permission to do so.
C) list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
D) list the names of the players he's advising as long as he lists the names of all his other clients, too.
Solutions:
Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: B |