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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading claims about various investment to investors. He had had it with all the rain anyway and decided to move to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side (more than his day job provided, in fact) by supplying illegal immigrants with official-looking documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,

A) Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
B) Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license had been revoked by the Administrator of another state.
C) Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or should have known of the revocation of Sam Shade's (aka Ian Creed) license.
D) Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.

2. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?

A) Maybe. But it will require written consent from both your brother and your firm.
B) Yes. This is permitted since the agreement is between you and a family member.
C) Yes, as long as your brother provides your firm with his written consent.

3. Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?

A) The perpetrator willfully committed the fraudulent act.
B) The act extended across state lines.
C) The victim(s) lost a combined total of at least $25,000 because of the act.
D) The Administrator decides to send the case to criminal court.

4. Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?

A) Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.
B) Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.
C) Fly-By-Night is required to shred all documentation of client transactions and communications.
D) Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.

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) 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.
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) Neither the notes nor the individuals selling the notes need to be registered with the state.

Solutions: