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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. George Geek is a computer programmer who tired of working for others and started his own company. He convinced forty investors that he could design software that would rival Microsoft, and sold them each a 10% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates himself.
George told the investors that he had a product that was on the verge of being marketable and that when it did-within the next two months-revenues would pour into the company, and he would begin paying dividends.
He told them they could expect a 20% return on their money this year, with even higher returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was, and he wasn't able to get all the bugs out of the program to make it marketable within the promised two months.
Within a year, George had tired of the project and was too busy picking up chicks in his new Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach mansion-and picking up chicks.
His activities, of course, were financed by the extremely generous "salary" he paid himself from the investors' monies.
Under the Uniform Securities Act, do the investors have any civil claims against George?

A) Yes. They can sue George for the return of their original investment, plus interest. George would also have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and suffering" on the parts of the clients.
B) No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for.
C) Yes. They can sue George for the return of their original investment, plus interest. George would.
D) No. The Uniform Securities Act only involves securities laws and partnership interests are not.

2. A variable annuity is:

A) not a security and, therefore, does not have to be registered with the state.
B) not a security, but is still required to be registered with the state before it can be offered for sale.
C) a security, but is exempt from state registration.
D) a security and, therefore, has to be registered with the state before it can be offered for sale.

3. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing so,

A) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
B) Finn has not violated any laws or engaged in any prohibited practices.
C) Finn is not in violation of any laws as long as he has notified the state Administrator of his new designation and his new logo.
D) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the use of the word "certified" on any advertisement for services.

4. In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.

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

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

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

Solutions: