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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small & Associates is required to

A) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
B) provide the client with a written response to the complaint.
C) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
D) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.

2. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

3. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of becoming insolvent. One of his clients who has become like a mother to him is aware of his financial difficulties and has offered to sell off some of the assets that he manages for her and loan him the money to get him through this period of economic uncertainty until he is able to get on his feet again.
Can Joe take her up on her offer?

A) Both A and B are true.
B) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going market rates, stated in the agreement as well as a firm date for principal repayment.
C) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan agreement with this client could lead to conflicts of interest.
D) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept it.

4. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is one that need not be registered in the state in which it is sold.
B) An exempt security is any security that is being sold in an isolated non-issuer transaction.
C) An exempt security is any security being sold as a private placement.
D) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.

5. 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) 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.)
B) 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.
C) Statements A and B are both true statements.
D) 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.

Solutions: