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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following instances is it permissible for an investment adviser to borrow money from a client?

A) The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
B) It is never permissible for an investment adviser to borrow money from a client.
C) The investment adviser may borrow money from a client if the client is a bank.
D) The investment adviser may borrow money in either of the scenarios described in B or C.

2. 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 I only
C) Methods I and III only
D) Method II only

3. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
B) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
C) up to 3 years in prison, a $5,000 fine, or both
D) up to 5 years in prison and a fine of $1,500,000 or both

4. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) is skilled if he is able to earn profits 95% of the time using this strategy.
C) is in violation of securities laws. Arbitrage is a prohibited activity.
D) engaged in a fraudulent activity.

5. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 5 years.
B) 2 years.
C) 10 years.
D) 1 year.

Solutions: