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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?

A) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
B) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
D) John 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.

2. An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?

A) No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
B) Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."
C) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
D) No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."

3. Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?

A) FINRA
B) the state administrator
C) NASAA
D) SEC

4. Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

A) All of the above documents must be included when filing to register a security with the state.
B) a copy of any indenture applying to the security being registered
C) a copy of the firm's articles of incorporation and bylaws, or the equivalent
D) copies of the underwriter agreements

5. After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A) proof that you meet the state's minimum net capital requirement
B) a recent photograph of yourself
C) U-4
D) Form ADV

Solutions: