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

2. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.
B) Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
C) Wheeler need not register in the state, and the securities are also exempt from registration.
D) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.

3. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective

A) for one full year.
B) until the maturity date on the bond.
C) for two full years.
D) until December 31st of the same year

4. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a deferred annuity
B) a Treasury Inflation Protected Security (TIPS)
C) a high quality corporate bond fund
D) an S&P 500 Index mutual fund

5. A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades per month for a specified fee. Another, slightly more expensive, plan provides the client with the same maximum number of trades per month, but the client also receives a personalized quarterly review of his portfolio along with advice for restructuring his portfolio based on such factors as current market conditions and specific industry or company information. The most expensive plan is one in which the client is assigned to an individual portfolio manager, who will take total responsibility for the asset allocation of the client's portfolio and will provide the client with monthly reports. Based on the services A-2-Z provides, it must register with the state as:

A) an investment adviser representative.
B) an investment adviser.
C) both a broker-dealer and an investment adviser.
D) a broker-dealer.

Solutions: