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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors
B) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors
C) a $25,000 promissory note that matures in three months
D) a $500,000 promissory note that matures in two years

2. Which of the following funds can an agent indicate is "no load?"

A) Both A and C can be advertised as "no load" funds.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
D) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.

3. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

4. Painting the tape refers to

A) 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.
B) the practice of buying large amounts of a security to drive its price up artificially.
C) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
D) 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.

5. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities
Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale
when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of
Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold
the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither I nor IV would be considered sales.
B) Neither III nor IV would be considered sales.
C) Neither I nor II would be considered sales.
D) Neither II nor III would be considered sales.

Solutions: