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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an agent selling this bond, you can legitimately tell the investor that

A) all of the above statements are true.
B) all state general obligation bonds are also guaranteed by the federal government.
C) the interest income the investor receives from the bond will be free from federal taxation.
D) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.

2. Constance is an investment adviser representative. She told one of her clients that he should put at least 15% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares in order to pay some medical bills and was surprised to discover that he lost money on the sale because the net asset value of the fund had dropped.
Was Constance guilty of any securities violations?

A) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no misstatement of fact in telling her client this.
B) It depends. If Constance realized that the client could lose money in a U.S. government bond fund, then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
C) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he invested the money in a U.S. government bond mutual fund.
D) Yes. Constance should never recommend that a client invest such a high percentage of his investment monies in a U.S. government bond mutual fund.

3. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered in every state in which the bonds will be sold to investors.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) they must be registered with the SEC since railroads are involved in interstate commerce.
D) None of the above statements is true.

4. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 5 years in prison and a fine of $1,500,000 or both
B) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
C) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
D) up to 3 years in prison, a $5,000 fine, or both

5. Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm. She has decided that her firm needs a niche and has learned that a consulting group is coming to the area and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the niche she has been looking for and signs up herself and her three investment adviser representatives for the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A) indicate that they are certified by the ARP program since money was paid for their attendance.
B) do none of the above.
C) represent themselves as certified senior citizen investment advisers.
D) have the words "Senior-Citizen Investment Specialists" printed on their business cards.

Solutions: