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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Blue Sky Laws are designed to:

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

2. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security income although he managed to accumulate an investment portfolio worth about $100,000 over the years. Mr.
Crochety recently got his hands on a business publication and read about the tax-free interest paid by municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) ignore Mr. Crochety's instruction since it is not in his best interest.
B) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
C) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D) call Mr. Crochety's relatives and suggest they have him examined for mental instability.

3. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
B) He needs to forward the check to the mutual fund within 24 hours.
C) He needs to forward the check to the mutual fund within 3 days.
D) He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.

4. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm had a professional four-color brochure printed that provides the years of industry experience of its management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30 years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for 20 of those 30 years, she was a secretary.
Has D. Vious violated any securities laws?

A) No. Advertising brochures are not securities.
B) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
C) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
D) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.

5. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
C) up to 5 years in prison and a fine of $1,500,000 or both
D) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided

Solutions: