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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

2. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study
any late-breaking news that may affect the markets and figure out ways to incorporate this news into
conversations with select clients in order to pressure them to restructure their portfolios by selling
holdings they have in one particular industry to invest the money in another particular industry. Ken has
been very successful with this strategy and executes more trades for his clients than any other agent with
the firm, but is he in danger of losing his license?

A) Yes. Ken is guilty of the prohibited practice of "tailgating."
B) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his
clients' accounts earn profits, then his license is safe.
C) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended.
D) No. Ken is just a successful sales person who is working harder than the other agents in the firm.

3. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors
B) a $500,000 promissory note that matures in two years
C) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors
D) a $25,000 promissory note that matures in three months

4. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) None of the selections listed are securities.
B) Only Selection III is not a security.
C) Only Selections II and III are not securities.
D) Selections II, III and IV are not securities.

5. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the
games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on
Craig's List. Do these "packages" meet the definition of securities, and, if so, does Kevin need to register
them with the state before offering them for sale?

A) The packages are not considered to be securities since each package is merely a purchase and sale
agreement between Kevin and another person. There is no third party involved. Because they do not
meet the definition of securities, Kevin does not need to register them with the state.
B) Only if Kevin will be selling the packages at or below cost are the packages not considered to be
securities, in which case Kevin will not have to register them with the state.
C) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but
since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
D) Statements A and B are both true statements.

Solutions: