FINRA Uniform Securities State Law Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least

A) five years.
B) three years.
C) Investment advisers must maintain their records for as long as they remain registered with the state.
D) seven years.

3. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide information about the some of the fund's financial aspects, such as its closing net asset value on the previous day.
What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
B) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is not engaged in the purchase or sale of the fund shares.
C) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative in this case since she is providing information about a mutual fund.
D) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing information about a specific mutual fund.

4. 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 issuer?

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

5. Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it started to fall during the day and credited the client's account with $131 per share when stock dropped further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of the shares for its own portfolio and sells the remainder to the public.

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

Solutions:

Question # 1 Answer: C

Question # 2 Answer: A

Question # 3 Answer: B

Question # 4 Answer: A

Question # 5 Answer: C