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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
B) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
C) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

2. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the
asset allocations of their portfolios. Jack Bean is

A) an investment adviser.
B) an administrative assistant.
C) an agent.
D) an investment adviser representative.

3. A broker-dealer is required to keep his records for how long?

A) at least three years
B) at least seven years
C) A broker-dealer is required to keep his records for as long as he is registered in the state.
D) at least five years

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

5. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
C) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
D) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.

Solutions: