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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A variable annuity is:

A) not a security, but is still required to be registered with the state before it can be offered for sale.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) a security, but is exempt from state registration.
D) not a security and, therefore, does not have to be registered with the state.

2. Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that
promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years.
The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely
hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he
said. The first units would be completed within a month, and the rents would be used to make the interest
payments. The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By
the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised
interest payments. Have there been any violation of securities laws in this instance?

A) Both B and C are true statements.
B) No. This was simply a loan transacted between two parties.
C) Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
D) Yes. Ms. Naivete has been defrauded by Mr. Smooth.

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
C) Neither MoeMoney nor its clients need do anything.
D) MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.

4. An individual who represents a broker-dealer in the buying and selling of securities is called a(n):

A) issuer
B) administrator
C) underwriter
D) agent

5. 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 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.
D) 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.

Solutions: