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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A broker-dealer is required to keep his records for how long?

A) at least seven years
B) at least five years
C) broker-dealer is required to keep his records for as long as he is registered in the state.
D) at least three years

2. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
B) up to 5 years in prison and a fine of $1,500,000 or both
C) up to 3 years in prison, a $5,000 fine, or both
D) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or

3. Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?

A) Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
B) Both B and C are true statements.
C) No. This was simply a loan transacted between two parties.
D) Yes. Ms. Naivete has been defrauded by Mr. Smooth.

4. Which of the following would not appear on an order ticket?

A) the stock symbol
B) the settlement date
C) the account number of the client buying or selling the security
D) the agent's commission

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

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

Solutions: