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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a put option on a stock that sells in the over-the-counter market
B) a variable annuity contract offered by an insurance company with offices in the state
C) a stock that is listed on the OTC Bulletin Board
D) a stock that is listed on the American Stock Exchange

2. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler need not register in the state, and the securities are also exempt from registration.
B) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
C) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.

3. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able
to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of
its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them.
BondsRUs is guilty of

A) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is
unwarranted.
B) fraud.
C) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are
willing to pay.
D) both B and C.

4. The current yield on a bond fund refers to

A) the return that the fund earned because of the capital appreciation of the securities in the fund.
B) the total return that the fund has earned over the most recent 12 month period.
C) the percentage increase in the fund's net asset value.
D) the return that the fund earned based only on the interest income it received

5. Which of the following is an example of commingling?

A) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
B) All of the above are examples of commingling.
C) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
D) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.

Solutions: