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

2. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.
B) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
C) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
D) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.

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) Yes. Ken is guilty of the prohibited practice of "tailgating."
B) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
C) 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.
D) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended.

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) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
C) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
D) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.

5. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

Solutions: