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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
B) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
C) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
D) Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.

3. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
B) a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
C) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
D) an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.

4. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his administrative assistant. As part of her duties, he has given her the responsibility for effecting the purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
B) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file criminal and civil charges against him.
C) the Administrator is required to turn the case over to the state's district attorney, who will file criminal charges against both Joe Romeo and Betty Buxom.
D) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face both civil and criminal penalties.

5. A "notice filing" refers to

A) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
B) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
C) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
D) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.

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