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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
B) issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale.
C) securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue.

2. Which of the following statements regarding an investment adviser representative who has an office in the
state is true?

A) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its
affiliated investment adviser representative needs to be registered with the state.
B) If an investment adviser representative is registered with the SEC, he or she need not obtain state
registration, regardless of whether the investment adviser representative has an office in the state.
C) Regardless of whether the investment adviser is registered with the SEC or is registered with the state,
all investment adviser representatives of the firm must be registered with the state if they have offices in
the state.
D) If the investment adviser that the investment adviser representative is affiliated with is itself registered
with the state, then the investment adviser representative does not need to apply for a separate
registration, regardless of whether the investment adviser representative has an office in the state.

3. Painting the tape refers to

A) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
B) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.

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

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

5. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
B) an agent who executes the purchase and sale of stocks and bonds for his clients
C) a credit union that operates within the state and provides loans to its members
D) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies

Solutions: