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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) license suspension.
B) license cancellation.
C) up to 3 years in prison or a $5,000 fine, or both.
D) up to 5 years in prison or a $10,000 fine, or both.

2. In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return
over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal
over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is
because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund
to continue earning a return higher than the S&P 500 Index. Is YourMoney guilty of any security
violations?

A) Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten
years. The fund is obviously misstating its returns.
B) Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning
a return higher than the S&P 500 Index." Past performance is no indication of future performance.
C) No. YourMoney properly revealed to prospective investors the fact that its higher than average returns
are the result of its investment in riskier securities.
D) No. Regulations require only that the mutual fund provide charts and tables of its average annual
returns, with a statement comparing the fund performance with a relevant market index.YourMoney has
done this and more.

3. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five years after the violation.
B) the earlier of two years after the discovery of facts and three years after the sale.
C) the earlier of two years after the discovery of the facts and four years after the violation.
D) three years after the discovery of the facts and four years after the violation, whichever is greater.

4. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform
Securities Act (USA)?

A) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
B) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to
make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.
C) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities
to GetErDone's clients.
D) Marge is a loan officer at Treadwater Bank and Trust.

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

Solutions: