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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
B) Erin must register as an investment adviser since she is providing investment advice.
C) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.

2. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

A) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
B) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
C) Marge is a loan officer at Treadwater Bank and Trust.
D) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

3. o: 52
Which of the following statements regarding "registration by qualification" is true?

A) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.
B) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.
C) Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.
D) Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.

4. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless

A) the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.
B) the broker-dealer already has a margin agreement signed by the client in hand.
C) the client has a net worth of at least $500,000.
D) the client has been a customer of the firm for at least 6 months.

5. Which of the following would meet the requirements for an "exempt security?"

A) a $25,000 promissory note that matures in three months
B) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
C) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
D) a $500,000 promissory note that matures in two years

Solutions: