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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
B) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
C) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.

2. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

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

3. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

4. An investment adviser may not

A) also be registered as a broker-dealer in the state.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
D) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.

5. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
B) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
C) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
D) Nancy can sell the stock without a problem as executrix of her aunt's estate.

Solutions: