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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial reports more frequently than:

A) four times a year.
B) once a year.
C) twelve times a year.
D) twice a year.

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

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

3. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Tuesday, September 28th.
B) Monday, September 27th.
C) Thursday, September 23rd.
D) Friday, September 24th.

4. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.
B) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.
C) Both A and C can be advertised as "no load" funds.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.

5. Which of the following statements would not be in violation of NASAA rules regarding the sale of investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a savings account at a bank, except the money market fund provides a higher return." II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government and is, therefore, a risk-free investment." III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to 4%. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to pay the difference in the two loads."

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

Solutions: