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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A tombstone advertisement is

A) an offer to sell a new security.
B) an offer to sell a new security that is being issued by an Arizona firm.
C) the announcement of a new security that may become available for purchase.
D) the only type of advertisement that an investment advisory firm is allowed to use.

2. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?

A) Neither the notes nor the individuals selling the notes need to be registered with the state.
B) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.
C) The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state.
D) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both.

3. A "notice filing" refers to

A) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.
B) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
C) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
D) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.

4. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial
reports more frequently than:

A) twelve times a year.
B) four times a year.
C) twice a year.
D) once a year.

5. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study
any late-breaking news that may affect the markets and figure out ways to incorporate this news into
conversations with select clients in order to pressure them to restructure their portfolios by selling
holdings they have in one particular industry to invest the money in another particular industry. Ken has
been very successful with this strategy and executes more trades for his clients than any other agent with
the firm, but is he in danger of losing his license?

A) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended.
B) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his
clients' accounts earn profits, then his license is safe.
C) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
D) Yes. Ken is guilty of the prohibited practice of "tailgating."

Solutions: