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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A bond issue has recently been registered with the state Administrator. Which of the following statements
are true?

A) An investor can feel secure in buying the bond because it has recently been registered, which means
that the state Administrator finds it to be of sound quality at this point in time.
B) The bond may now be offered for sale in the state.
C) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for
sale in the future will be able be sold after the issuer executes a notice filing.
D) Both A and B are true statements.

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

3. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount
from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:

A) death warrant.
B) deceased option.
C) viatical settlement.
D) life straddle.

4. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) before the beginning of the next quarter.
B) within a week's time.
C) by the close of business on the next business day.
D) before the end of the month.

5. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
C) The issuer must have preferred stockholders as well as common stockholders.
D) The issuer must never have defaulted on any bond or long-term lease obligation.

Solutions: