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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) the agreement among the underwriters themselves
B) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.
C) all sales and advertising materials that will be used in conjunction with the offering.
D) the agreement between the issuing firm and the underwriters

2. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the
games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on
Craig's List. Do these "packages" meet the definition of securities, and, if so, does Kevin need to register
them with the state before offering them for sale?

A) The packages are not considered to be securities since each package is merely a purchase and sale
agreement between Kevin and another person. There is no third party involved. Because they do not
meet the definition of securities, Kevin does not need to register them with the state.
B) Statements A and B are both true statements.
C) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but
since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
D) Only if Kevin will be selling the packages at or below cost are the packages not considered to be
securities, in which case Kevin will not have to register them with the state.

3. Which of the following would meet the requirements for an "exempt security?"

A) a $25,000 promissory note that matures in three months
B) a $500,000 promissory note that matures in two years
C) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors
D) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors

4. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) broker-dealer.
B) agent.
C) none of the above.
D) issuer.

5. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
C) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
D) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.

Solutions: