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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

2. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free financial planning kit, with no obligation on the part of the potential client
B) a free initial consultation, with no obligation on the part of the potential client
C) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
D) testimonials of satisfied clients

3. 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 issuer?

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

4. 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.

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

Solutions: