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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.

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

2. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 3 years in prison or a $5,000 fine, or both.
B) license suspension.
C) up to 5 years in prison or a $10,000 fine, or both.

3. Which of the following trades is illegal?

A) the sale of a mutual fund if the purchaser hasn't received a prospectus
B) a market-not-held order
C) a margin transaction
D) a short sale

4. Which of the following is an example of a non-issuer transaction?

A) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its stock.
B) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
C) Google offers more shares of its stock for sale to the public.
D) IBM sells a new issue of bonds to an insurance company.

5. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A) Wheeler need not register in the state, and the securities are also exempt from registration.
B) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
C) Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.

Solutions: