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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Painting the tape refers to

A) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
B) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.

2. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security that is being sold in an isolated non-issuer transaction.
B) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.
C) An exempt security is any security being sold as a private placement.
D) An exempt security is one that need not be registered in the state in which it is sold.

3. 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) I, II, and III
D) III only

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st next year.
B) the full annual fee, and your license will expire on December 31st this year.
C) one-fourth of the annual fee required since only one quarter of the year remains.
D) the full annual fee, and your license will expire on September 30th next year.

5. 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) twelve times a year.
C) twice a year.
D) once a year.

Solutions: