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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Painting the tape refers to

A) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
B) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
C) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
D) the practice of buying large amounts of a security to drive its price up artificially.

2. In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a
federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management

A) All of the selections meet the qualifications of a federal covered adviser.
B) I and II only
C) I and III only
D) II and III only

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

4. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC
must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

5. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him
all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain
bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse
the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference
between current yield and total return, Patty shows the client the data on the average annual returns that
the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield
than the similar-risk corporate bond fund because the interest income the client will receive from the
municipal bond fund will be free from federal taxation, while the interest income on the corporate bond
fund is fully taxable.

A) I only
B) All the choices describe prohibited practices in the sale of shares of investment companies.
C) I and II only
D) I and III only

Solutions: