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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
C) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock

2. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return
information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent
III. information regarding the investment adviser used by the fund
IV. an explanation of the various loads and fees outlined in the fund's prospectus

A) I, II, III, and IV
B) I and II only
C) I, II, and III only
D) I, II, and IV only

3. A margin transaction refers to a transaction

A) Both A and C are true statements.
B) in which the client borrows some of the money that he is investing.
C) in which a registered agent makes trades on a customer's account without that customer's knowledge.
D) that is illegal under the guidelines of the Uniform Securities Act.

4. 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 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.
D) the practice of buying large amounts of a security to drive its price up artificially.

5. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A) Skip and either Mars or Venus, but not both
B) Both Skip and Venus
C) Skip only
D) Skip, Mars, and Venus

Solutions: