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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) agent.
B) broker-dealer.
C) investment adviser.
D) investment company.

2. Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

A) a copy of the firm's articles of incorporation and bylaws, or the equivalent
B) a copy of any indenture applying to the security being registered
C) All of the above documents must be included when filing to register a security with the state.
D) copies of the underwriter agreements

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

4. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

5. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A) HiGrowth Corporation
B) Mr. Bigwig
C) BigFee Investment Bankers
D) GetErDone Broker-Dealers

Solutions: