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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) Mr. Bigwig
B) BigFee Investment Bankers
C) GetErDone Broker-Dealers
D) HiGrowth Corporation

2. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a certificate of deposit (CD)
B) a debenture
C) a put option
D) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.

3. Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company.
Which of the following statements are true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.

A) None of the statements is true.
B) I, II, and III
C) I only
D) I and II only

4. Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?

A) Fly-By-Night is required to shred all documentation of client transactions and communications.
B) Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
C) Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.
D) Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a margin agreement if the purchase is being made on margin
B) a final prospectus
C) a hypothecation agreement
D) a preliminary prospectus

Solutions: