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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The current yield on a bond fund refers to

A) the return that the fund earned based only on the interest income it received
B) the total return that the fund has earned over the most recent 12-month period.
C) the return that the fund earned because of the capital appreciation of the securities in the fund.
D) the percentage increase in the fund's net asset value.

2. Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

A) all sales and advertising materials that will be used in conjunction with the offering.
B) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
C) the agreement among the underwriters themselves.
D) the agreement between the issuing firm and the underwriters.

3. George Geek is a computer programmer who tired of working for others and started his own company. He convinced forty investors that he could design software that would rival Microsoft, and sold them each a 10% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates himself.
George told the investors that he had a product that was on the verge of being marketable and that when it did-within the next two months-revenues would pour into the company, and he would begin paying dividends.
He told them they could expect a 20% return on their money this year, with even higher returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was, and he wasn't able to get all the bugs out of the program to make it marketable within the promised two months.
Within a year, George had tired of the project and was too busy picking up chicks in his new Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach mansion-and picking up chicks.
His activities, of course, were financed by the extremely generous "salary" he paid himself from the investors' monies.
Under the Uniform Securities Act, do the investors have any civil claims against George?

A) Yes. They can sue George for the return of their original investment, plus interest. George would also have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and suffering" on the parts of the clients.
B) No. The Uniform Securities Act only involves securities laws and partnership interests are not.
C) Yes. They can sue George for the return of their original investment, plus interest. George would.
D) No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for.

4. Price pegging refers to

A) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.

5. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,

A) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
B) Needy is in violation of securities laws by acting as an issuer of securities.
C) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.
D) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.

Solutions: