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Updated: Jun 02, 2026
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FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?
A) providing a client with a copy of their most recent balance sheet upon request
B) lending money to clients for them to invest
C) borrowing money from a client
D) charging commissions that are significantly higher than those charged by other broker-dealers
2. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
A) II only
B) I, II, and III
C) II and III only
D) I and II only
3. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?
A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) a credit union that operates within the state and provides loans to its members
C) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
D) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
4. Which of the following actions is the Administrator of a state empowered to take?
A) gather evidence
B) The Administrator of a state has the authority to take all of the above actions.
C) require restitution for the victims of a scam
D) impose civil penalties in cases of fraud
5. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact
A) by the close of business on the next business day.
B) before the beginning of the next quarter.
C) within a week's time.
D) before the end of the month.
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: A |
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