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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on Craig's List.
Do these "packages" meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?

A) Statements A and B are both true statements.
B) Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.
C) The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.
D) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)

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

3. Which of the following constitutes a non-punitive order?

A) registration cancellation
B) All of the above are punitive orders.
C) summary license suspension
D) registration denial

4. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?

A) The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
B) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.
C) The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
D) Neither the notes nor the individuals selling the notes need to be registered with the state.

5. A bond issue has recently been registered with the state Administrator.
Which of the following statements are true?

A) An investor can feel secure in buying the bond because it has recently been registered, which means that the state Administrator finds it to be of sound quality at this point in time.
B) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for sale in the future will be able be sold after the issuer executes a notice filing.
C) The bond may now be offered for sale in the state.
D) Both A and B are true statements.

Solutions: