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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
B) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
C) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.
D) Gazillions only has to answer to the state in which the complaint was filed.

2. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a stock listed on the Tokyo Stock Exchange
C) a bond issued by another state's employees' credit union
D) a bond guaranteed by the Canadian government

3. 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) 10 years.
B) 5 years.
C) 1 year.
D) 2 years.

4. Which of the following actions is the Administrator of a state empowered to take?

A) The Administrator of a state has the authority to take all of the above actions.
B) require restitution for the victims of a scam
C) gather evidence
D) impose civil penalties in cases of fraud

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

Solutions: