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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective

A) until the maturity date on the bond.
B) for one full year.
C) for two full years.
D) until December 31st of the same year

3. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with
at least once a year?

A) the total number of agency cross transactions completed for the client during the period
B) the total amount of commissions or other compensation that the investment adviser received or
expects to receive in connection with agency cross transactions performed for the client during the period
C) the number of any complaints that each of its investment adviser representatives has received during
the period
D) both A and B

4. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies
C) a credit union that operates within the state and provides loans to its members
D) an agent who executes the purchase and sale of stocks and bonds for his clients

5. The Uniform Securities Act (USA) is

A) a body of laws governing the purchase and sale of securities within a single state.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
D) federal legislation that requires all states to adopt the same registration requirements for all

Solutions: