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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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.

2. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
B) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
C) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
D) An investment adviser keeps a client's securities in its safety deposit box.

3. Which of the following entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clientsD.
B) a credit union that operates within the state and provides loans to its members.
C) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
D) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies.

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
B) Method II only
C) Method I only
D) Methods I and III only

5. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a law firm that is organized as a partnership
B) a corporation
C) a 16-year old cheerleader
D) a school district

Solutions: