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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should

A) advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
B) turn the matter over to your supervisor.
C) call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law.
D) nod politely, but not execute the transactions since they are not in her best interest.

3. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam has 60 days to file an appeal of the decision in a court of law.
B) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
C) Sam has 45 days in which to file an appeal with the attorney general.
D) Sam can move to another state and apply for registration as an investment adviser there.

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
C) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.

5. A broker-dealer cannot legally be

A) a sole-proprietorship.
B) an individual.
C) A broker-dealer can be any of the above.
D) a partnership.

Solutions: