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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

A) Freedom broker-dealers executes the purchase and sale of securities for its customers.
B) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.
C) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
D) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)

2. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for a promissory note on the internet, filled in the requisite information specific to the agreement he and the investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2% on the loan and to repay the principal amount at the end of 18 months. A few months after the arrangement, Iggy read an article in a small business publication that indicated that promissory notes had to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a financial institution, prior to being offered for sale. The article indicated that a seller who had sold an unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the security back, with interest. Iggy turned to the computer once again, found a form that could be used for a formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6 months, Iggy is off the hook.
B) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue for damages in civil court.
C) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor within 30 days.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

3. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) eight.
B) five.
C) four.
D) There is no specified turnover ratio assigned to the prohibited practice of churning.

4. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A) $5,900.
B) $5,200.
C) $6,200.
D) $6,000.

5. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 5 years in prison and a fine of $1,500,000 or both
C) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
D) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or

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