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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?

A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
B) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.
D) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.

2. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform
Securities Act.
B) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.
C) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average
annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the
fact that the fund has returned an average annual rate of return of 6% over the past ten years.
D) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year
Treasury note.

3. A tombstone advertisement is

A) an offer to sell a new security.
B) the only type of advertisement that an investment advisory firm is allowed to use.
C) the announcement of a new security that may become available for purchase.
D) an offer to sell a new security that is being issued by an Arizona firm.

4. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,

A) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
B) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.
C) Needy is in violation of securities laws by acting as an issuer of securities.
D) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.

5. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants
Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this
particular fund to effect purchases or sales of the fund shares. Can Noah execute the order anyway?

A) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
B) No. This would be considered money laundering, which is highly illegal.
C) No. This is a prohibited practice known as front running.
D) No. This is a prohibited practice known as selling away.

Solutions: