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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of
whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact
from its prospectus. Turnover is guilty of

A) misusing insider information.
B) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
C) fraud.
D) misrepresentation.

2. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 3 years in prison or a $5,000 fine, or both.
B) license cancellation.
C) up to 5 years in prison or a $10,000 fine, or both.
D) license suspension.

3. 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) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
C) provide the client with a written response to the complaint.
D) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.

4. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities
Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale
when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of
Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold
the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither I nor II would be considered sales.
B) Neither III nor IV would be considered sales.
C) Neither II nor III would be considered sales.
D) Neither I nor IV would be considered sales.

5. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy can sell the stock without a problem as executrix of her aunt's estate.
B) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
C) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
D) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.

Solutions: