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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 5 years.
B) 10 years.
C) 1 year.
D) 2 years.

2. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
B) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
C) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
D) Yes. The agent who executes your purchase order has engaged in illegal insider trading.

3. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
B) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) It depends. As long as the church parishioners are aware of the arrangement between Carrie and

4. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.
B) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
C) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
D) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.

5. Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification is the preferred method used by issuers since it requires the least amount
of paperwork.
B) Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements.
C) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA
rating, are exempt from registration with the state.
D) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of
information about both the firm and its directors, officers, and major shareholders.

Solutions: