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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) GetErDone Broker-Dealers
B) BigFee Investment Bankers
C) HiGrowth Corporation
D) Mr. Bigwig

2. Which of the following would not be found in a tombstone advertisement?

A) the name of the issuer
B) the names of the underwriters
C) the interest rate and time to maturity of a bond issue
D) the price at which the security will be offered

3. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state. One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving partners.
Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

4. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.

A) I and III only
B) I only
C) All the choices describe prohibited practices in the sale of shares of investment companies.
D) I and II only

5. Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

A) the agreement between the issuing firm and the underwriters.
B) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
C) all sales and advertising materials that will be used in conjunction with the offering.
D) the agreement among the underwriters themselves.

Solutions: