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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) $6,200.
B) $5,900.
C) $6,000.
D) $5,200.

2. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a variable annuity contract offered by an insurance company with offices in the state
B) a put option on a stock that sells in the over-the-counter market
C) a stock that is listed on the American Stock Exchange
D) a stock that is listed on the OTC Bulletin Board

3. A broker-dealer cannot legally be

A) A broker-dealer can be any of the above.
B) a partnership.
C) an individual.
D) a sole-proprietorship.

4. Which of the following is an example of commingling?

A) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
B) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
C) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
D) All of the above are examples of commingling.

5. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed on the Tokyo Stock Exchange
B) a bond issued by another state's employees' credit union
C) a bond guaranteed by the Canadian government
D) a stock listed as a NASDAQ National Market Issue.

Solutions: