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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading claims about various investment to investors. He had had it with all the rain anyway and decided to move to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side (more than his day job provided, in fact) by supplying illegal immigrants with official-looking documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,

A) Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license had been revoked by the Administrator of another state.
B) Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
C) Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or should have known of the revocation of Sam Shade's (aka Ian Creed) license.
D) Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.

2. Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

A) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
B) the agreement among the underwriters themselves.
C) the agreement between the issuing firm and the underwriters.
D) all sales and advertising materials that will be used in conjunction with the offering.

3. If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person

A) must notify the Administrator of the state that it has appealed the decision.
B) can continue business as usual pending the resolution of the appeal.
C) Both B and C are true statements.
D) is considered to have a revoked license until the courts rule otherwise.

4. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.

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

5. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an administrative hearing on the order.
Which of the following statements is true regarding Ina's situation?

A) Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.
B) Ina can make a written request that a hearing on the issue be scheduled within ten business days of her request and may continue working with clients while waiting for her day in court.
C) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of her request and may not continue working with clients unless the Administrator vacates the order until final determination.
D) Ina can immediately file an appeal of the suspension in a court of law.

Solutions: