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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may be given to prospective investors during the "cooling off period?"

A) a tombstone advertisement
B) all of the above
C) a copy of the registration statement
D) a final prospectus

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

3. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its
clients for investment advice for additional remuneration. Which of the following statements is true?

A) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a
trade that the client makes based on that advice, but not both.
B) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client
makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms
like A-2-Z provide their prospective clients.
C) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no
commissions may be collected.
D) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a
trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and
get the client's written consent.

4. Which of the following securities would be exempt from state registration requirements, according to the
Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) Selection III only
B) Selection I and III only
C) Selection I only
D) All of the selections would be exempt from state registration requirements under the Uniform

5. 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) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.
B) 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.
C) 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.
D) Neither the notes nor the individuals selling the notes need to be registered with the state.

Solutions: