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

2. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should

A) nod politely, but not execute the transactions since they are not in her best interest.
B) advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
C) call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law.
D) turn the matter over to your supervisor.

3. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study
any late-breaking news that may affect the markets and figure out ways to incorporate this news into
conversations with select clients in order to pressure them to restructure their portfolios by selling
holdings they have in one particular industry to invest the money in another particular industry. Ken has
been very successful with this strategy and executes more trades for his clients than any other agent with
the firm, but is he in danger of losing his license?

A) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his
clients' accounts earn profits, then his license is safe.
B) Yes. Ken is guilty of the prohibited practice of "tailgating."
C) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
D) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended.

4. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered
with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support
his inventive activities. To this end, he produced and distributed a brochure advertising partnership
interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what
he had allegedly generated from his other (non-existent) inventions. Given these facts, is Jeremy guilty of
any security violations under the Uniform Securities Act (USA)?

A) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no
violation unless there is a sale.
B) No. It is not against the law to believe in oneself and promote one's ideas.
C) Yes. Even an "offer" to sell securities must not contain any untruths.
D) No. An interest in a partnership is not considered a security.

5. Which of the following is not a method that can be used to register securities with the state?

A) registration by notification
B) registration by coordination
C) registration by exception
D) registration by qualification

Solutions: