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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not
complied with all the stipulated requirements.

A) I or III only
B) I, II, III, or IV
C) III or IV only
D) I, III or IV only

2. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
C) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
D) a credit union that operates within the state and provides loans to its members

3. Painting the tape refers to

A) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
B) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

4. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

5. Which of the following is an example of commingling?

A) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
B) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
C) All of the above are examples of commingling.
D) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.

Solutions: