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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Blue Sky Laws are designed to:

A) enhance the tourism industry within a state.
B) protect agents, broker-dealers, and investment advisers and their representatives from spurious allegations of fraudulent activity.
C) protect investors from fraud in their securities market transactions.
D) favor investment in companies that engage in environmentally friendly practices.

2. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either before or after executing a client's trade on the same commodity, depending on which will be most advantageous.
Under the Uniform Securities Act, the broker-dealer is guilty of

A) churning.
B) unauthorized transactions.
C) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.
D) fraud.

3. While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer, discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast Eddie nor his broker-dealer are registered to do business in either of those states. Under these circumstances,

A) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is an unsolicited transaction.
B) Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in the state of Massachusetts.
C) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is a private placement.
D) Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and negotiate a finder's fee for referring Mr. Moneybags to them.

4. 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, as long as your brother provides your firm with his written consent.
C) Yes. This is permitted since the agreement is between you and a family member.

5. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
B) Neither MoeMoney nor its clients need do anything.
C) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
D) MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.

Solutions: