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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.
Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?

A) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.
B) No. An interest in a partnership is not considered a security.
C) No. It is not against the law to believe in oneself and promote one's ideas.
D) Yes. Even an "offer" to sell securities must not contain any untruths.

2. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an agent selling this bond, you can legitimately tell the investor that

A) all of the above statements are true.
B) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
C) all state general obligation bonds are also guaranteed by the federal government.
D) the interest income the investor receives from the bond will be free from federal taxation.

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 unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) 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.

4. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Both B and C are true statements.
B) No. It is unethical for him to trade based on this information before the firm's clients have received the information.
C) No. This is a prohibited activity referred to as "painting the tape."
D) Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.

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

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

Solutions: