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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 3 years in prison or a $5,000 fine, or both.
B) license suspension.
C) up to 5 years in prison or a $10,000 fine, or both.

2. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.
B) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
C) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.
D) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.

3. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

4. A broker-dealer cannot legally be

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

5. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security being sold as a private placement.
B) An exempt security is any security that is being sold in an isolated non-issuer transaction.
C) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.
D) An exempt security is one that need not be registered in the state in which it is sold.

Solutions: