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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding an open-end investment company is not true?

A) Its shares are bought and sold on exchange floors.
B) Its securities are federal covered.
C) Its shares are bought and sold through the company.
D) Its shares may sell for either net asset value or greater than net asset value, but not below

2. Which of the following would not fall under the classification of "institutional investor"?

A) Neuring Investment Advisers
B) Chase Bank
C) Franklin Templeton Mutual Funds
D) Prudential Insurance

3. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant.
In this instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

4. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
B) issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
C) federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.

5. 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 investment adviser representative since she is providing information about a specific mutual fund.
B) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
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 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.

Solutions: