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

2. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 1 year.
B) 5 years.
C) 2 years.
D) 10 years.

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

4. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100 billion dollars under management. A client has filed a complaint asserting that the firm has been involved in fraudulent activities. In this case,

A) Gazillions only has to answer to the state in which the complaint was filed.
B) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it has under management.
C) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered investment adviser, it need not respond to any state-issued requests for information.
D) Gazillions has to answer to both the SEC and the state in which the complaint was filed.

5. Which of the following securities would not necessarily be exempt from state registration?

A) a bond issued by another state's employees' credit union
B) a bond guaranteed by the Canadian government
C) a stock listed as a NASDAQ National Market Issue.
D) a stock listed on the Tokyo Stock Exchange

Solutions: