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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in Switch Advisory.
Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.

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

2. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of becoming insolvent. One of his clients who has become like a mother to him is aware of his financial difficulties and has offered to sell off some of the assets that he manages for her and loan him the money to get him through this period of economic uncertainty until he is able to get on his feet again.
Can Joe take her up on her offer?

A) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going market rates, stated in the agreement as well as a firm date for principal repayment.
B) Both A and B are true.
C) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan agreement with this client could lead to conflicts of interest.
D) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept it.

3. Painting the tape refers to

A) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.

4. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for a promissory note on the internet, filled in the requisite information specific to the agreement he and the investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2% on the loan and to repay the principal amount at the end of 18 months. A few months after the arrangement, Iggy read an article in a small business publication that indicated that promissory notes had to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a financial institution, prior to being offered for sale. The article indicated that a seller who had sold an unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the security back, with interest. Iggy turned to the computer once again, found a form that could be used for a formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6 months, Iggy is off the hook.
B) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue for damages in civil court.
C) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor within 30 days.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

5. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 5 years in prison and a fine of $1,500,000 or both
C) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
D) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided

Solutions:

Question # 1 Answer: D

Question # 2 Answer: C

Question # 3 Answer: A

Question # 4 Answer: D

Question # 5 Answer: C