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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

A) Marge is a loan officer at Treadwater Bank and Trust.
B) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
C) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
D) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

2. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?

A) No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
B) No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
C) Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
D) Yes. Agents are not permitted to include a picture of themselves on their business cards.

3. In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser has a column in which the publisher makes specific investment recommendations for clients who write in for advice.
About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

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

4. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.

A) I or III only
B) I, III or IV only
C) III or IV only
D) I, II, III, or IV

5. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?

A) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
B) Yes. Noah is guilty of misappropriation and could have his license revoked.
C) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
D) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.

Solutions: