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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A) Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
B) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
C) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
D) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.

2. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he does not own in return for a commission on the transactions he executes. A broker-dealer may also buy and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on those securities.
B) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate in the primary market.
C) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy and sell bonds and option contracts.
D) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate licensing requirements for agents.

3. Which of the following may be given to prospective investors during the "cooling off period?"

A) a copy of the registration statement
B) a tombstone advertisement
C) a final prospectus
D) all of the above

4. A bond issue has recently been registered with the state Administrator.
Which of the following statements are true?

A) An investor can feel secure in buying the bond because it has recently been registered, which means that the state Administrator finds it to be of sound quality at this point in time.
B) Both A and B are true statements.
C) The bond may now be offered for sale in the state.
D) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for sale in the future will be able be sold after the issuer executes a notice filing.

5. Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

Solutions: