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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least

A) three years.
B) five years.
C) seven years.
D) Investment advisers must maintain their records for as long as they remain registered with the state.

2. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither I nor II would be considered sales.
B) Neither II nor III would be considered sales.
C) Neither III nor IV would be considered sales.
D) Neither I nor IV would be considered sales.

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

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

4. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?

A) BigCash must file a new application with the state to register its new subsidiary, but will be able to utilize the remainder of any annual filing fees that Target Investments had paid for the year.
B) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.
C) BigCash must file a new application with the state to register its new subsidiary and must also pay the annual filing fees required by the Administrator.
D) BigCash need do nothing since Target Investments was already duly registered with the state as a broker-dealer.

5. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.
B) Both B and C are true statements.
C) No. This is a prohibited activity referred to as "painting the tape."
D) No. It is unethical for him to trade based on this information before the firm's clients have received the information.

Solutions: