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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide
investment recommendations as well as other financial news items to the general public. Rich hopes that
his newsletter will achieve nationwide circulation within a few months. Which of the following statements
is true?

A) Rich may be exempt from registering as an investment adviser if he is a lawyer,accountant, engineer,
or teacher. Otherwise, he will have to register.
B) Rich will not have to register as an investment adviser since he is publishing a legitimate financial
newsletter for distribution to the general public.
C) Rich will have to register as an investment adviser only if he sells this newsletter to the public.If the
publication is to be distributed free of charge, he will not have to register.
D) Rich will have to register as an investment adviser since his publication will include investment
recommendations

2. Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.

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

3. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick

A) is skilled if he is able to earn profits 95% of the time using this strategy.
B) is trading on insider information, which is a violation of securities laws.
C) engaged in a fraudulent activity.
D) is in violation of securities laws. Arbitrage is a prohibited activity.

4. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) participates in the selling of the new stock to individual investors.
B) Jack will need to register as a sales representative if he performs any one of the above activities.
C) represents NewCorp in any transactions with financial institutions.
D) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.

5. 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 need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.
C) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.
D) 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.

Solutions: