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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
B) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.
C) Yes. To purchase shares of their own company is considered to be illegal insider trading.
D) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.

2. Which of the following actions is the Administrator of a state empowered to take?

A) gather evidence
B) require restitution for the victims of a scam
C) The Administrator of a state has the authority to take all of the above actions.
D) impose civil penalties in cases of fraud

3. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) The investment adviser may borrow money in either of the scenarios described in B or C.
B) The investment adviser may borrow money from a client if the client is a bank.
C) It is never permissible for an investment adviser to borrow money from a client.
D) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.

4. Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

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

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

Solutions: