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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Painting the tape refers to

A) the practice of buying large amounts of a security to drive its price up artificially.
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 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.

2. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
B) The issuer must have preferred stockholders as well as common stockholders.
C) The issuer must never have defaulted on any bond or long-term lease obligation.
D) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a

3. No: 167
A "market not held" order is

A) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
B) an order to buy or sell a stock at a specified price, which differs from the current market price.
C) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
D) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.

4. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) All of the entities are subject to post-registration provisions.
B) II and IV only
C) I and III only
D) I and II only

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

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

Solutions: