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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) Both A and B are securities as defined by the Uniform Securities Act.
B) a term life insurance policy
C) a debenture
D) a futures option contract on wheat

2. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $5,900.
B) $5,200.
C) $6,000.
D) $6,200.

3. Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires
broker-dealers to obtain and keep certain information relating to clients that make or receive funds
transfers that involve

A) $10,000 or more.
B) $3,000 or more.
C) $5,000 or more.
D) $100,000 or more.

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
C) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
D) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.

5. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A) The perpetrator willfully committed the fraudulent act.
B) The act extended across state lines.
C) The victim(s) lost a combined total of at least $25,000 because of the act.
D) The Administrator decides to send the case to criminal court.

Solutions: