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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 and III only
B) II only
C) I and II only
D) I, II, and III

2. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
B) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
C) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
D) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.

3. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund
that does not have a sales charge. Desi recommends a fund that has no front-
end load although it does have a deferred sales load if the investor redeems his shares within the first
three years of ownership, but the client has informed Desi that he is looking at this as a long-term
investment. Based on these facts, Desi

A) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B) is in violation of NASAA rules regarding investment company shares.
C) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not
apply to this client, given his indication that this is meant to be a long-term investment.
D) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the
fund he has recommended in any manner.

4. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
C) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
D) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.

5. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $5,200.
B) $5,900.
C) $6,200.
D) $6,000.

Solutions: